Regulatory Notifications

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.

 

 

List of Notifications Made to the Regulatory Notifications Application

 

  1. Notice Relating to NASD Rule 3012
    Supervisory Control Amendments
     
  2. Financial Notifications
    (SEA Rule 15c3-1(e)(1)(i) or SEA Rule 15c3-1(e)(1)(ii))Withdrawals of equity capital
    (SEA Rule 15c3-3(i))Failure to make a deposit in the special reserve bank account or special account
    (SEA Rules 17a-4(f)(2)(i) and SEA Rule 17a-4(f)(3)(vii))Electronic storage media
     Statement Regarding Independent Public Accountant under SEA Rule 17a-5(f)(2)
    (SEA Rule 17a-5(f)(4))Replacement of accountant
    (SEA Rule 17a-11(b))Net Capital below minimum amount required
    (SEA Rule 17a-11(c)(1))Aggregate Indebtedness greater than 1,200% of Net Capital
    (SEA Rule 17a-11(c)(2))Net Capital less than 5% of Aggregate Debit Items (Alternative Computing Firms)
    (SEA Rule 17a-11(c)(3))Net Capital less than 120% of Required Minimum Net Capital (Early Warning)
    (SEA Rule 17a-11(d))Failure to make and keep Current Books and/or Records – Initial Notification
    (SEA Rule 17a-11(d))Failure to make and keep Current Books and/or Records – Follow Up Report
    (SEA Rule 17a-11(e)(1) and SEA Rule 17a-5(h))Notice of Material Inadequacy or Material Weakness – Initial Notification
    (SEA Rule 17a-11(e)(2))Material Inadequacy or Material Weakness – Follow Up Report
  3. Notice RelatingNASD Rule 2711
    Annual Attestation of Compliance

 

 

If you have problems using the Regulatory Notification Applications, please contact FINRA Support at (800) 321-6273.