NYSE, NYSE Arca, NYSE Amer, NYSE CHX, and NYSE NAT issued Regulatory Memo regarding changes to FINRA gateway as well as four new regulatory notification forms.
Changes, Regulatory Notices
Members are obligated to provide notifications to exchanges, designated examining authorities, and the SEC when certain financial and operational conditions arise.
FINRA has historically accepted such notifications from members on behalf of the exchanges via the Regulatory Notifications application within FINRA Firm Gateway.
On Jan. 17, 2025, FINRA will update this application to include four new forms.
Effectiveness
Members will be required to use new forms by Mar. 31, 2025.
