Regulatory Filings

 


 

Regulation Filing Applications: New Firm Contacts Screen

Regulation Filing Account Administrators will be responsible for providing and maintaining the new Firm Contacts fields with the most current and accurate information. This information is necessary in the event that an application’s designated person needs to be notified of any system problems or for verification of information that was submitted by the member firm. The Form Filing contact information needs to be provided for each of the following systems, where applicable:

 

  • Blue Sheets
  • Disclosure Events and Customer Complaints
  • FOCUS
  • INSITE Firm Data Filing
  • Market Volatility
  • Reg-T & 15c3-3
  • Shorts

 

The name, title, address, telephone number, fax number and email address for the firm’s designated primary and secondary contacts should be provided for each application. In addition, in order to enable FINRA to process Blue Sheets data requests in a timely manner, member firms should also provide and/or update the Blue Sheets contact information via email to the Market Regulation Department

 


 

Questions regarding the Entitlement Forms should be directed to the Gateway Call Center at (800) 321-6273.

Last Updated: 7/1/2013