Regulatory Notice 12-19

FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M

 

Effective Date: June 4, 2012

Executive Summary

FINRA is reminding firms of their notification obligations under FINRA Rules 5190 and 6275(f), and FINRA trade reporting rules relating to distributions that are subject to SEC Regulation M. In addition, FINRA is announcing a new process for the electronic submission of the notice and information required under the rules.

 

Effective June 4, 2012, firms are required to make submissions under Rule 5190, Rule 6275(f) and applicable trade reporting rules in accordance with the new electronic submission process. Prior to the effective date, FINRA will provide access to the system for testing purposes.

 

Questions regarding this Notice may be directed to:

  • Scott Trilling, Deputy Director, Market Regulation Department, at (240) 386-5113;
  • Melissa Springer, Team Leader, Market Regulation Department,  at (240) 386-5088;
  • John Scrofani, Director, NY Equities Section of the Market Regulation Department, at (917) 281-3117;
  • FINRA’s Regulation M Filings General Inquiry Line, at (240) 386-5560; or
  • Office of General Counsel at (202) 728-8071.