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

    Rule 15c3-1(e)

    Withdrawals of equity capital

    Rule 15c3-3(i)

    Special Reserve Bank Account

    Rule 17a-4(f)(2)(i);
    Rule 17a-4(f)(3)(vii)

    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

  4. Notice Relating NASD Rule 2711 
    Annual Attestation of Compliance

 

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