Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Comment Period Expired: February 25, 2013
FINRA Rule 4524 (Supplemental FOCUS Information) 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 supplemental schedule for inventory positions.
The text of the proposed supplemental schedule can be found at www.finra.org/notices/13-05.
Questions concerning this Notice should be directed to:
|View Full Notice||PDF 136 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|
|Pat Nelson (PDF 54 KB)||1/31/2013|
|Jim Nelson (PDF 24 KB)||2/7/2013|
|Wachtel & Co Inc (PDF 17 KB)||2/12/2013|
|Integrated Management Solutions USA LLC (PDF 100 KB)||2/25/2013|