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Last Updated: 1/1/07
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
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Notice Relating to NASD Rule 3012
Supervisory Control Amendments
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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 |
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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.
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