Industry Communications Related to Hurricane Sandy

Due to the impact from Hurricane Sandy, FINRA is providing guidance on a number of regulatory and compliance issues for firms.

Advisories

• Regulatory Notice 12-53: Regulatory Relief Related to Hurricane Sandy
• Credit Regulation (Regulation T and SEA 15c3-3)
• SEC Responses to FAQ Concerning Regulation SHO
• Regulatory Notice 12-45: Guidance to Members Affected by Hurricane Sandy
• Note to Investors about Requests for Margin Extensions

Archived Advisories

• SEA Rule 15c3-3 Reserve Formula Computation Relief
• OATS Submissions
• The effective date of Regulatory Notice 12-37 has been delayed until November 12, 2012.
• The comment period for Regulatory Notice 12-39 has been extended to November 19, 2012.
• FINRA changes the effective date of TRACE rule amendments and SPDS launch to November 12, 2012.
• Regulatory Notice 12-51: Change to Effective Date of Minimum Quotation Size Pilot for OTC Equity Securities
• The comment period for Regulatory Notice 12-42 has been extended to December 20, 2012.