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ARTICLE · 17 JULY 2020

Federal Register: FINRA Rule Extends Office Inspection Deadline

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A FINRA rule to temporarily extend the deadline for firms to complete annual office inspections was published in the Federal Register.

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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A FINRA rule to temporarily extend the deadline for firms to complete annual office inspections was published in the Federal Register. The rule went into effect upon the receipt of its filing with the SEC. Comments must be submitted by July 28, 2020.

As previously covered, the FINRA rule adopts temporary Supplementary Material .16 ("Temporary Extension of Time to Complete Office Inspections") under FINRA Rule 3110 ("Supervision"). The extension pushes back the office inspection deadline for member firms in calendar year 2020 to March 31, 2021.

Originally published July 15, 2020.

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