SEA Rule 15c3-3 Exemptions and Reporting (Duration: 37 minutes)

This webinar provides an in-depth examination of exemptions available under SEA Rule 15c3-3 and the requirements for exemption reporting. Participants will gain clarity on eligibility criteria, reporting obligations, and best practices for maintaining compliance with exemption conditions.

FINRA Speakers

• Anthony Vinci, Senior Director, Office of Financial & Operational Risk Policy
• Brian Stanton, Director, Risk Monitoring
• Mark Ramler, Director, Office of Financial & Operational Risk Policy
• Sarah Kenny, Director, Office of Financial & Operational Risk Policy

Resources

• SIFMA/AICPA Exemption Reporting Templates
• FAQs Concerning the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule
• FAQs Concerning the Amendments to Certain Broker-Dealer Financial Responsibility Rules
• FAQs about Exemption Reporting Under SEA Rule 15c3-3(k) for Purposes of FOCUS Reporting and Updating of Membership Agreements
• Information Notice 11/14/25 - SEC Amendments Relation to Electronic Filing for Annual Reports
• Regulatory Notice 25-19: FINRA Amends Annual Reports Extension of Time Request Policy
• FINRA Annual Reports Extension of Time Request Policy