FINRA requires firms to make filings such as U4, U5 and BD amendments electronically via the WebCRD system. Regulatory filings such as those reporting civil, criminal or regulatory investigations are also now filed electronically. As of January 1, 2007, early warning reporting required under SEC Rule 17a-11 and equity withdrawals, advances and loans requiring pre- or post-notification under Rule 15c3-1 (e)(1) will also be filed electronically under new Rule 3170.
