Regulatory Notice 08-40

Technology Changes for Reporting Certain Complaint and Disclosure Information

Effective Date: October 20, 2008

Beginning October 20, 2008, member firms currently using the NYSE Electronic Filing Platform must begin reporting certain complaint and disclosure information (per NYSE Rule 351 and NASD Rule 3070) through the FINRA Firm Gateway (, a tool that provides consolidated access to FINRA applications. These changes are part of FINRA's ongoing effort to integrate NYSE and NASD technology systems. Firms should expect further changes next year to the reporting process as a result of the impending consolidation of Rules 351 and 3070.

This Notice also addresses minor changes to NASD 3070 filings on the Firm Gateway.

Questions concerning this Notice should be directed to:

  • Dave Troutner, Deputy Director, Central Review Group, Member Regulation, at (240) 386-6404;
  • Charles Shanley, Director of Preliminary Investigations, Central Review Group, Member Regulation, at (646) 315-7405; or
  • Debrah Reed, Technical Reporting, at (240) 386-4612.

Technical questions regarding testing for the technology changes discussed in this Notice should be directed to the FINRA Help Desk at (800) 321-6273 (please say that your question is about a test system issue, not an actual filing). Firms also should direct all technical questions to the FINRA Help Desk on or after October 20, 2008.