Regulatory Notice 13-05

FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions

 

Comment Period Expired: February 25, 2013

Executive Summary

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:

  • Kris Dailey, Vice President, Risk Oversight & Operational Regulation, at (646) 315-8434; or
  • Matthew E. Vitek, Assistant General Counsel, Office of General Counsel, at (202) 728-8156.
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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