Regulatory Notice 08-11
Q&A on Electronic Filing Requirements of NASD Rule 3170
This Notice provides answers to frequently asked questions FINRA has received on the electronic filing requirements under NASD Rule 3170 that became effective January 2007.
The online form filing system—which should be used for submitting the required filings outlined in this Notice and in Notice to Members 06-61— is available via the FINRA Firm Gateway at http://firms.finra.org/financialnotifications.
Questions concerning this Notice may be directed to Susan M. DeMando, Associate Vice President, Financial Operations, Department of Member Regulation, at (202) 728-8411.