Regulatory Notice 18-42

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility and reporting rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of certain amendments the Securities and Exchange Commission (SEC) adopted. The updated imbedded text relates to SEA Rules 15c3-1g and 17a-5.

Questions concerning this Notice should be directed to:

  • Yui Chan, Senior Director, Risk Oversight and Operational Regulation (ROOR), at (646) 315-8426;
  • Ann Duguid, Senior Director, ROOR, at (646) 315-7260; or
  • Anthony Vinci, Director, ROOR, at (646) 315-8335.

Related Documents: 

DateTitleFormat - Size
12/18/2018Updated PagesPDF - 45.98 KB