Regulation M Notifications – Filing Cabinet

First Notification for a New Deal

The first step in submitting Regulation M Notifications is to establish a Deal ID. The Deal ID can be a combination of letters and numbers and cannot contain special characters or spaces. It is up to the Firm to establish what nomenclature they want to use for the Deal ID; however this Deal ID should be something that will be easily recognizable to everyone at the firm and should correlate to the offering you are referencing. For example, if a firm is doing a distribution in the issue ABCD Company that is expected to price in June 2012, a Deal ID of ABCD062012 would be an identifier that is recognizable by the various users at the firm. You will be required to search for the Deal ID each time to determine if the value has been used previously.

If the Deal ID entered has never been used before, then you will see a single row in the search results below with the Deal ID you entered and a Deal Status of "Pending". Select the row and then click the "ACTIONS" button to see the list of notifications available for the deal.

After selecting "ACTIONS", you will be provided a list of the notifications you may submit. Select the appropriate notification.

Subsequent Notifications for an Existing Deal

The first step is to search for the Deal ID by entering the Deal ID in the "Create Deal ID" field. If you submitted or drafted a notification for the same deal, you will be able to view it. As more notifications are filed over time, you can sort and/or filter the list by clicking on any of the column headings.

Once you locate one or more notifications for the deal in which you are interested, select one of the notifications by clicking on the row and then click the "ACTIONS" to select another notification for the same deal. You will notice that since a Restricted Period Notification was previously submitted, that option is no longer available for the deal.

If you need to amend a previously submitted notification, select the notification from the list followed by "Amend."

In the event that you need to delete a previously drafted notification, select the notification from the list followed by "Delete". A notification that has already been submitted to FINRA cannot be deleted.