ARTICLE
24 June 2020

FINRA Seeks Temporary Extension Of Office Inspection Deadline

CW
Cadwalader, Wickersham & Taft LLP

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Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA proposed temporarily extending the deadline for firms to complete annual office inspections.
United States Finance and Banking

FINRA proposed temporarily extending the deadline for firms to complete annual office inspections. FINRA is proposing to adopt temporary Supplementary Material .16 ("Temporary Extension of Time to Complete Office Inspections") under FINRA Rule 3110 ("Supervision"). The proposed extension would push back the office inspection deadline for member firms in calendar year 2020 to March 31, 2021.

Originally published June 22, 2020.

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