Regulatory Notice 12-23

FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items


Comment Period Expired: June 4, 2012

Executive Summary

On February 9, 2012, the SEC approved FINRA Rule 4524 (Supplemental FOCUS Information), which requires each firm, as FINRA shall designate, to file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest as a supplement to the FOCUS Report. FINRA requests comment on one such proposed schedule, a supplementary schedule for derivatives and other off-balance sheet items.


The proposed supplementary schedule for derivatives and other off-balance sheet items (including instructions to the form) is set forth in Attachment A.


Questions concerning this Notice should be directed to:

  • Kris Dailey, Vice President, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8434;
  • Marshall Levinson, Vice President, ROOR, at (646) 315-8453; or
  • Matthew E. Vitek, Assistant General Counsel, Office of General Counsel,  at (202) 728-8156.
View Full Notice PDF 243 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
Wulff, Hansen & Co. (PDF 258 KB) 5/31/2012
Sutherland Asbill & Brennan LLP (PDF 729 KB) 6/4/2012