Technical Information: Regulation T and SEC Rule 15c3-3 Extension Request Filing

This page contains technical information about filing Regulation T and SEC Rule 15c3-3 extension requests (REX System). (The system was formerly known as the Reg T application.)

 

For guidance, see Regulatory Notice 10-28 and the REX System Tutorial.

 

REX System Data Dictionary and Schema Documentation

 

This workbook (Excel 1.2 MB) contains a description of the data elements used in the FINRA REX system.

 

New Batch Submission Schema Files

 

These files provide details about the new REX batch XML file format. See Regulatory Notice 10-28 for information about when firms must begin using this format (i.e., the date when the legacy batch file format will no longer be accepted). The two files below should be used together. (For convenience, the REGTSubmitterBatch.xsd file includes the REGTFilingInclude.xsd file.)

 

New Batch Results Report Schema Files

 

These files provide details about the new REX results file format. See Regulatory Notice 10-28 for information about when firms must begin using this format (i.e., the date when the legacy batch results file format will no longer be provided). The two files below should be used together. (For convenience, the REGTResultsReport.xsd file includes the REGTFilingInclude.xsd file.)