Regulatory Notice 18-03

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

Executive Summary

FINRA is making available updates to interpretations in the Interpretations of Financial and Operational Rules that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets (SEC staff). The updated interpretations relate to amendments that the SEC adopted to Securities Exchange Act (SEA) Rule 15c6-1 in connection with the standard settlement cycle.

Questions concerning this Notice should be directed to:

  • Yui Chan, Managing Director, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8426; or
  • Adam Rodriguez, Director, Credit Regulation, ROOR, at (646) 315-8572.

Related Documents: 

DateTitleFormat - Size
1/10/2018Updated PagesPDF - 37.35 KB