Regulatory Filing Systems

Submit retail communications, institutional communications and correspondence for review and filing in accordance with FINRA advertising and communications rules.

• Advertising Regulation Electronic Files (AREF) – Advertising and communications filing

Report your firm's financial condition and operational data through required periodic filings, including monthly and quarterly financial statements and supplemental schedules.

• Derivatives and Other Off-Balance Sheet Items (OBS) – OBS schedule submission
• eFOCUS – Financial and Operational Combined Uniform Single Reports
• Subordination Agreements – Capital subordination filings
• Supplemental Statement of Income (SSOI) – Quarterly income reporting

Maintain current firm contact information and notify FINRA of material changes to your business operations, organizational structure or other significant events.

• Annual Reports – Consolidated FINRA reports
• FINRA Contact System – Designated contact information
• Firm Clearing Arrangements Filing – Clearing relationships
• Regulatory Notifications – Material changes and notifications

Report customer margin balances, options exercise allocations and requests for extensions of time to meet margin requirements under Regulation T.

• Customer Margin Balance Reporting – Monthly customer margin balances
• Options Allocation of Exercise Assignment Notices – Options exercise data
• Regulation T Filings – Extensions of time for margin requirements

Specialized reporting requirements for specific business activities and responses to FINRA requests for information or testimony in connection with investigations or examinations.

• FINRA Rule 4311(h)(2) – Insurance company separate account submissions
• Information & Testimony Requests – Respond to FINRA information requests

File required information for private placements, public offerings, unlisted trading privileges and distribution-related activities involving new or existing securities.

• Distribution Manager – Syndicate and distribution information
• Form 211 Filings – Unlisted trading privilege applications
• Private Placements – Rule 5123 filing requirements
• Public Offerings – Corporate financing filings

Submit transaction data, position reports and market activity information related to trading surveillance, market regulation and regulatory compliance obligations.

• Blue Sheets – Electronic Blue Sheet (EBS) trading data
• FINRA Rule 6151 (SEC Rule 606) – Order routing disclosure
• Regulation M Filings – Distribution participant activities
• Short Interest Reporting – Semi-monthly short interest positions