Several Rules require that member firms notify both FINRA and SEC national and applicable regional offices when certain financial and operation conditions occur. The Regulatory Notifications application provides a filing system that gives member firms the ability to electronically submit regulatory notification filing information.
|Rule 15c3-1(e)||Withdrawals of equity capital|
|Rule 15c3-3(i)||Special Reserve Bank Account|
|Electronic storage media|
|Rule 17a-5(f)(4)||Replacement of accountant|
|Rule 17a-11(b)||Net capital deficiency|
|Rule 17a-11(c)(1)||Aggregate indebtedness is in excess of 1,200 percent of net capital|
|Rule 17a-11(c)(2)||Net capital is less than 5 percent of aggregate debit items|
|Rule 17a-11(c)(3)||Net capital is less than 120 percent of required minimum dollar amount|
|Rule 17a-11(d)||Failure to make and keep current books and records|
|Rule 17a-11(e)||Material inadequacy in accounting systems, internal controls, or practices and procedures|
If you have problems using the Regulatory Notification Applications, please contact FINRA Support at (800) 321-6273.