Regulatory Notice 17-26

FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432

Effective Date: October 23, 2017

Summary

FINRA has adopted a new electronic Form 211 for purposes of compliance with FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). Firms must begin using the electronic Form 211 in place of the current paper form beginning on October 23, 2017, but may voluntarily begin using the electronic Form 211 beginning on September 11, 2017.

Questions regarding this Notice should be directed to:

  • Yvonne Huber, Vice President, Market Regulation (MR), at (240) 386-5034;
  • Steven Genegaban, Manager, MR, at (240) 386-5040; or
  • for legal and interpretive questions, Racquel Russell, Associate General Counsel, Office of General Counsel, at (202) 728-8363.