Regulatory Filing Systems FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations. Advertising Regulation Electronic Files Annual Reports Blue Sheets Customer Margin Balance Reporting Derivatives and Other Off-Balance Sheet Items Schedule (OBS) Distribution Manager eFOCUS FINRA Contact System FINRA Firm Clearing Arrangements Filing FINRA Rule 4311(h)(2) Form 211 Filings MCDC Initiative (Applications Received) Private Placements Public Offerings Regulation M Filings Regulation NMS Filings Regulation T Filings Regulatory Notifications Rule 4530 Short Interest Reporting Subordination Agreements Supplemental Statement of Income (SSOI)
