{"id":"AGY-FED-FINANCIAL-076","kind":"order","level":"sector-regulator","jurisdiction":"United States; Financial Industry Regulatory Authority (self-regulatory organization)","state":"","metro":"","industry":"","agency":"FED-FINANCIAL","eco":"","issuer":"FINRA","authority":"15 U.S.C. § 78s(b)(3)(A); FINRA Rule 3110.17","instrument":"FINRA Regulatory Notice 20-42 (and temporary Rule 3110.17 adopted by SR-FINRA-2020-040 as described in the notice)","title":"FINRA Seeks Comment on Lessons From the COVID-19 Pandemic","dateIssued":"2020-12-16","effective":"2020-12-16 (Rule 3110.17 covered calendar-year 2020 and 2021 inspection obligations)","end":"Rule 3110.17 as adopted covered inspections for calendar years 2020 and 2021 (later extended by FINRA to 2022 and beyond)","startDate":"2020-12-16","endDate":"2021-09-30","quarters":["2020Q4","2021Q1","2021Q2","2021Q3"],"types":["TELE","OTHER"],"addressees":["FINRA member broker-dealers"],"clause":"FINRA adopted temporary Supplementary Material.17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) to provide member firms the option, subject to specified requirements under the supplementary material, to complete remotely their calendar year 2020 and calendar year 2021 inspection obligations under Rule 3110(c), without an on-site visit to the office or location.","enforcement":"FINRA Rule 3110 enforceable under 15 U.S.C. § 78o-3(b)(7) and FINRA Rule 8310","functions":["OP supervision and branch inspections (remote through 2021)","WM","HR"],"notes":"A Q3 2021 instrument: the self-regulator\u0027s rule that on-site branch inspections could be dispensed with for all of 2021 because personnel and inspectors could not travel to offices","sourceUrl":"https://www.finra.org/sites/default/files/2020-12/Regulatory-Notice-20-42.pdf","snapshot":"https://web.archive.org/web/20210101/https://www.finra.org/sites/default/files/2020-12/Regulatory-Notice-20-42.pdf","fileExists":true,"fileBytes":125555,"grade":"primary","character":"","description":"","collection":"AGY-FED-FINANCIAL","url":"/library/AGY-FED-FINANCIAL-076","exhibitUrl":"/exhibit/AGY-FED-FINANCIAL-076","citation":"FINRA, FINRA Regulatory Notice 20-42 (and temporary Rule 3110.17 adopted by SR-FINRA-2020-040 as described in the notice) (Dec. 16, 2020) (Ex. AGY-FED-FINANCIAL-076)","stateName":"","related":[]}