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
- Notice Relating to NASD Rule 3012
Supervisory Control Amendments
- Financial Notifications
(SEA Rule 15c3-1(e)(1)(i) or SEA
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
Electronic storage media Statement Regarding Independent Public Accountant under SEA Rule 17a-5(f)(2) (SEA Rule 17a-5(f)(4)) 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
Notice of Material Inadequacy or Material Weakness – Initial Notification (SEA Rule 17a-11(e)(2)) Material Inadequacy or Material Weakness – Follow Up Report
- Notice Relating NASD Rule 2711
Annual Attestation of Compliance
If you have problems using the Regulatory Notification Applications, please contact FINRA Support at (800) 321-6273.