Industry Communications Related To Hurricane Sandy

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 Monday, 10/29/2012, and Tuesday, 10/30/2012, FINRA's DC, MD, NYC, Long Island, Woodbridge, Philadelphia and Boston offices will be closed due to the storm. Firms that need to reach one of the closed offices should contact the Call Center at (301) 590-6500.

Advisories

• 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

Trade Reporting Facilities System Status

Please check system status pages for updates on trade reporting facilities closures.

• TRACE Status
• ADF Status
• TRF Status
• ORF Status
• OTCBB Status

Questions can be directed to FINRA Product Management.