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

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

If you have problems using the Regulatory Notification Applications, please contact FINRA Support at (800) 321-6273.