Regulatory Notice 19-11

FINRA Announces Update of the Interpretations of Financial and Operational Rules

Summary

FINRA is making available an update to the Interpretations of Financial and Operational Rules that the staff of the SEC’s Division of Trading and Markets (SEC staff) has communicated to FINRA staff. The update relates to Securities Exchange Act (SEA) Rule 15c3-1(c)(2)(viii) (Open Contractual Commitments).

Questions concerning this Notice should be directed to:

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

Related Documents: 

DateTitleFormat - Size
4/9/2019Updated PagePDF - 11.96 KB