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 Wednesday, 10/31/2012, FINRA's DC, MD, and Boston offices will be open. Operating status for the NYC, Long Island, Woodbridge, and Philadelphia offices will be determined later today.
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.
Questions can be directed to FINRA Product Management.