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FINRA
proposed a rule change that would extend from April 30, 2021 to
August 31, 2021 the expiration date for temporary amendments that
(i) provide relief to FINRA staff from certain enforcement and
procedural requirements and (ii) allow virtual hearings.
Specifically, the proposal would extend:
SR-FINRA-2020-015,
which provides temporary relief for FINRA staff from "timing,
method of service and other procedural requirements"; and
SR-FINRA-2020-027,
which allows the Office of Hearing Officers and National
Adjudicatory Council to conduct virtual hearings for (i) appeals of
Membership Application Program decisions, (ii) disciplinary
decisions, (iii) eligibility proceedings, and (iv) cease and desist
orders.
Comments on the proposal must be submitted within 21 days of its
publication in the Federal Register.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
