ARTICLE
1 September 2020

FINRA Extends Deadlines For Completion Of Qualifying Examination

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 provided an extension for the completion of qualifying examinations and firm certifications.
United States Finance and Banking

FINRA extended the expiring qualification examination windows to December 31, 2020, for (i) individuals working as "Operations Professionals" under FINRA Rule 1220(b)(3)(B) ("Registration Categories"), and (ii) individuals who are designated as principals under FINRA Rule 1210.04 ("Registration Requirements").

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