Regulatory Notifications
Several Rules require that member firms notify both FINRA and SEC national and applicable regional offices when certain financial and operation conditions occur. The Regulatory Notifications application provides a filing system that gives member firms the ability to electronically submit regulatory notification filing information.
List of Notifications Made to the Regulatory Notifications Application
| (SEA Rule 15c3-1(e)(1)(i) or SEA Rule 15c3-1(e)(1)(ii)) |
Withdrawals of equity capital |
| (SEA Rule 15c3-3(i)) | Failure to make a deposit in the special reserve bank account or special account |
| (SEA Rules 17a-4(f)(2)(i) and SEA Rule 17a-4(f)(3)(vii)) |
Electronic storage media |
| Statement Regarding Independent Public Accountant under SEA Rule 17a-5(f)(2) | |
| (SEA Rule 17a-5(f)(3)) | Replacement of accountant |
| (SEA Rule 17a-11(b)) | Net Capital below minimum amount required |
| (SEA Rule 17a-11(c)(1)) | Aggregate Indebtedness greater than 1,200% of Net Capital |
| (SEA Rule 17a-11(c)(2)) | Net Capital less than 5% of Aggregate Debit Items (Alternative Computing Firms) |
| (SEA Rule 17a-11(c)(3)) | Net Capital less than 120% of Required Minimum Net Capital (Early Warning) |
| (SEA Rule 17a-11(d)) | Failure to make and keep Current Books and/or Records – Initial Notification |
| (SEA Rule 17a-11(d)) | Failure to make and keep Current Books and/or Records – Follow Up Report |
| (SEA Rule 17a-11(e)(1) and SEA Rule 17a-5(h)) |
Notice of Material Inadequacy or Material Weakness – Initial Notification |
| (SEA Rule 17a-11(e)(2)) | Material Inadequacy or Material Weakness – Follow Up Report |
If you have problems using the Regulatory Notification Applications, please contact FINRA Support at (800) 321-6273.