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.

 

View Full Notice PDF 120 KB


The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
Ivy League Financial Services, Inc. (PDF 27 KB) 7/21/2010
M.S. Howells & Co. (PDF 53 KB) 7/23/2010
Hunter, Keith, Marshall & Co., Inc. (PDF 43 KB) 7/27/2010
Balanced Financial Securities (PDF 26 KB) 7/31/2010
Foresters Equity Services, Inc. (PDF 25 KB) 8/5/2010
Hodges Capital Management –
First Dallas Securities
(PDF 15 KB)
8/5/2010
Farragut Capital LLC (PDF 51 KB) 8/12/2010
Integrity Investments, Inc. (PDF 35 KB) 8/12/2010
Stephen Kinkade (PDF 16 KB) 8/15/2010
Wachtel & Co., Inc. (PDF 68 KB) 8/16/2010
Aileen Gallagher (PDF 154 KB) 8/17/2010
SIFMA (PDF 27 KB) 8/17/2010
Wilson-Davis & Co., Inc. (PDF 19 KB) 8/17/2010
First Asset Financial Inc. (PDF 70 KB) 8/17/2010
IMS (PDF 74 KB) 8/18/2010
Probitas Partners (PDF 20 KB) 8/18/2010
Berkshire Bridge Capital, LLC (PDF 21 KB) 8/18/2010
Sutherland Asbill & Brennan LLP (PDF 244 KB) 8/18/2010
Southlake Capital Advisors, Inc. (PDF 15 KB) 8/18/2010
IBG Trading Inc. (PDF 11 KB) 8/18/2010
Real Estate Investment Securities Association (PDF 32 KB) 8/18/2010
Wedbush Securities (PDF 27 KB) 8/18/2010
NAIBD (PDF 77 KB) 8/18/2010
Allegheny Investments (PDF 308 KB) 8/18/2010
Trust Advisory Group, Ltd. (PDF 43 KB) 8/18/2010
Regional Bond Dealers (PDF 84 KB) 8/18/2010
Bank of America Merrill Lynch (PDF 21 KB) 8/19/2010
Citigroup Global Markets, Inc. (PDF 1,942 KB) 8/20/2010