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

  1. Financial Notifications
    (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)(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
    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
  2. 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.