FINRA Notice 16-05


January, 2016

This Notice provides firms with information regarding a no-action letter1 issued by the staff of the Division of Trading and Markets of the Securities and Exchange Commission (the SEC staff) regarding electronic filing of the annual and supplemental reports required under SEA Rules 17a-5 and 17a-12.

See the attached pdf, for the full text:

pdf FINRA_Notice_16-05.pdf