Regulatory Notice 10-33

FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA;
Comment Period Expired: August 18, 2010

Executive Summary

FINRA requests comment on a proposed rule to require each member firm to file certain additional financial or operational schedules or reports to supplement SEC FOCUS Reports. FINRA further requests comment on one such proposed schedule, a supplement to the Statement of Income (Loss) page of FOCUS Report Parts II and IIA. 

 

The text of proposed FINRA Rule 4524 (Supplemental FOCUS Information) is set forth in Attachment A. The proposed supplementary schedule for the Statement of Income (Loss) page of the FOCUS Report Parts II and IIA, including the proposed Operational Page, is set forth in Attachment B.

 

Questions concerning this Notice should be directed to:

• Kris Dailey, Vice President, Risk Oversight & Operational Regulation, at (646) 315-8434; or
  
• Susan DeMando Scott, Associate Vice President, Financial Operations Department, at (202) 728-8411.

 

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