Regulatory Notice 13-44

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Executive Summary

 

FINRA is making available updates to the Interpretations of Financial and Operational Rules that the staff of the SEC’s Division of Trading and Markets (SEC staff) have communicated to FINRA. The updated interpretations—consisting of specified additions, revisions and rescissions, as set forth in this Notice—relate to Securities Exchange Act (SEA) Rules 15c3-1, 15c3-1b, 15c3-1d, 15c3-3 and 17a-5.

 

Questions concerning this Notice should be directed to:

  • Yui Chan, Managing Director, Risk Oversight and Operational Regulation (ROOR), at (646) 315-8426; or
  • Susan DeMando Scott, Associate Vice President, ROOR, at (240) 386-4620.