Securities and Exchange Commission
Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission [Release No. 34-90780; File No. SR-NASDAQ-2020-091] Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”)  [ 1 ] and Rule 19b-4 thereunder, [ 2 ] notice is hereby given that on December 17, 2020, The Nasdaq Stock Market LLC (“Nasdaq” or “Exchange”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to extend the effective date of the temporary amendments set forth in SR-NASDAQ-2020-073 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of the Financial Industry Regulatory Authority, Inc. (“FINRA”) qualification examinations at test centers, SR-NASDAQ-2020-073 extended the 120-day period that certain individuals can function as a principal without having successfully passed an appropriate qualification examination through December 31, 2020. The text of the proposed rule change is available on the Exchange's website at https://listingcenter.nasdaq.com/​rulebook/​nasdaq/​rules , at the princip…
Citation: 85 FR 86600
