FINRA Announces New Template for Compliance with Exchange Act Amendments (FINRA Reg. Notice 14-39)

FINRA issued a Regulatory Notice announcing that FINRA is making available a new template through the Firm Gateway. The template will enable members to file information electronically regarding broker-dealers' accountants, as required by Exchange Act Rule 17a-5(f)(2).

Additionally, the Notice provides a set of FAQs about the amendments for members' guidance.

See: FINRA Regulatory Notice 14-39. Related news: SEC Publishes Two Final Rules Regarding Broker-Dealers (Fed. Reg.) (with Lofchie Comment) (August 21, 2013).