FINRA - Rules and Regulations - FINRA Manual Online

Location: FINRA Manual > NASD Rules > CONDUCT RULES (2000–3000) > 3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES > 3100. BOOKS AND RECORDS, AND FINANCIAL CONDITION > 3170. Mandatory Electronic Filing Requirements

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06-61 SEC Approves Rule 3170 Requiring Members to Electronically File with or Otherwise Submit to NASD Specified Regulatory Notices or Other Documents; Effective Date: December 6, 2006¹

3170. Mandatory Electronic Filing Requirements

Each member shall be required to file with NASD, or otherwise submit to NASD, in such electronic format as NASD may require, all regulatory notices or other documents required to be filed or otherwise submitted to NASD, as specified by NASD.

Adopted by SR-NASD-2006-060 eff. Dec. 6, 2006.

Selected Notice: 06-61.