Regulatory Update: FINRA Supervision Frequently Asked Questions (FAQ)
FINRA has updated it’s FAQs on supervision. It has added the following Q&A:
https://www.finra.org/rules-guidance/key-topics/supervision/faq?utm_source=MM&utm_medium=email&utm_campaign=O%5FWeekly%5FUpdate%5F040721%5FFINAL#3-7
“7. How can member firms change the date on which their Rule 3130 annual certification is due?”
“8. What is the difference between the FINRA Rule 3120 report and the FINRA Rule 3130 report? Updated”
“10. What are the timetables for the FINRA Rules 3120 and 3130 reports and the Rule 3130 certification? Updated”
Visit here for the answers:
https://www.finra.org/rules-guidance/key-topics/supervision/faq?utm_source=MM&utm_medium=email&utm_campaign=O%5FWeekly%5FUpdate%5F040721%5FFINAL#3-7
