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| ADF | CRD | IARD | INSITE | IPO Distribution Manager | OATS | FCS | FINRA Entitlement Program | Report Center | Regulation Filing Applications | Regulation NMS | TRACE | TRF | Web-Based FOCUS | Web COBRADesk | Web IR |
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Regulation Filing Applications |
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:
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.
Encryption Information
To better protect information transmitted to the Regulation Filing Applications Web Page, each user MUST ensure that his/her browser is configured to use 128-bit encryption.
To check the encryption level of your current browser:
Internet Explorer Users - Open your browser, click on Help at the top menu, and click on About Internet Explorer. If your browser is not 128 bit, you may also get the updates direct from Microsoft using the following Internet link: http://www.microsoft.com/windows/ie/downloads/recommended/128bit/default.asp
Netscape Communicator - Open your browser, click on Help at the top menu, and click on About Communicator. Scroll down until you see the text that describes the security level supported by your version of Communicator. The latest domestic version currently uses 128-bit encryption.
If you have a desktop support group, please contact them to get your browser updated. You may also get the updates direct from Microsoft or Netscape using the following Internet links.
Internet Explorer: http://www.microsoft.com/windows/ie/downloads/recommended/128bit/default.asp
Netscape: http://home.netscape.com/
Regulation Filing Due Dates
View the Due Dates for FOCUS reports, Annual Audits, Customer Complaints, and Short Interest Reporting. Business questions regarding the Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Michele Bowan at (240) 386-4986. FINRA has launched a series of Web-based form filing applications. These applications permit FINRA member firms to submit filings via the Internet. See below for more specifics on each of the following regulation filing applications.
Users will be able to access these regulation applications with the same entitlement user account and password as used to access Web-Based FOCUS–the first of the form filing applications launched in the Fall of 1999. Firms will no longer need to load software or file via Sprint Telenet or the Securities Industry Automation Corporation (SIAC), but will instead access all of the form filing applications with one Internet address: https://RegFiling.nasd.com.
For further information or if you have questions about the new Web-based form filing regulation applications, call (800) 321-6273, or send an email. Also, please view the Web-based form filing frequently asked questions, information on File Transfer Protocol (FTP) Batch Submission, and recommended client configuration for these Web-based applications.
Gaining Access
Firms must complete the appropriate forms to be entitled to use Regulation Filing Applications. You may access the FINRA Entitlement Forms and Confirmation Packets to get your organization access to Regulation Filing Applications.
Questions regarding the Entitlement Forms should be directed to the Gateway Call Center at (800) 321-6273. |
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