Filing Extensions – Annual Reports and FOCUS Reports

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided. When appropriate, FINRA will publish a Regulatory Notice announcing a termination date for the regulatory relief that will provide member firms with time to make necessary operational adjustments.

Read below updates from FINRA on Filing Extensions – Annual Reports and FOCUS Reports:

https://www.thorntonandassociates.com/wp-content/uploads/2020/03/2020-03-FINRA-FOCUS-and-Audit-due-dates.pdf

COVID-19 / Coronavirus

FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders. 

FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments.  New information will be posted on the link below as it becomes available.

https://www.finra.org/rules-guidance/key-topics/covid-19