Regulatory Notice 14-13

Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)

Effective Date: April 2, 2014

Executive Summary

FINRA is updating the Regulatory Extension (REX) system to enable firms to file extension of time requests relating to new SEA Rule 15c3-3(d)(4) as adopted by the SEC in July 2013. Firms may file such requests beginning April 2, 2014, by completing the currently available online request form that is accessible by logging in to the REX system via the FINRA Firm Gateway. Firms should note, however, that the REX system will not be able to accept extension of time requests relating to Rule 15c3-3(d)(4) that are submitted via batch file process.

Questions concerning this Notice should be directed to:

  • Glen Garofalo, Director, Credit Regulation, at (646) 315-8464;
  • Steve Yannolo, Project Manager, Credit Regulation, at (646) 315-8621; or
  • Theresa Reynolds, Senior Credit Regulation Coordinator, at (646) 315-8567.