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In light of the hurricane advisories in effect for the Mid-Atlantic and Northeastern United States, FINRA is encouraging member firms with offices in the affected areas to prepare to implement business continuity plans. Please review the Business Continuity Plan page and the following advisories.
Please visit the SIFMA Emergency Site for additional updates.
FINRA Office Closures
On Thursday, 11/1/2012, FINRA's DC, MD, Boston, Philadelphia, Long Island, and Woodbridge offices will be open. The NYC offices remain closed.
Firms that need to reach one of the closed offices should contact the Call Center at (301) 590-6500.
Advisories
(Listed in the order in which they were added.)
- SEA Rule 15c3-3 Reserve Formula Computation Relief
- OATS Submissions
- Credit Regulation (Regulation T and SEA 15c3-3)
- SEC Responses to FAQ Concerning Regulation SHO
- Regulatory Notice 12-45: Guidance to Members Affected by Hurricane Sandy
- The effective date of Regulatory Notice 12-37 has been delayed until November 12, 2012.
- The comment period for Regulatory Notice 12-39 has been extended to November 19, 2012.
- FINRA changes the effective date of TRACE rule amendments and SPDS launch to November 12, 2012.
- Note to Investors about Requests for Margin Extensions
Trade Reporting Facilities System Status
Please check system status pages for updates on trade reporting facilities closures.
Questions can be directed to FINRA Product Management.
