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.
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: 
DateCommenterFormat - Size
7/23/2010M.S. Howells & Co.PDF - 52.67 KB
7/21/2010Ivy League Financial Services, Inc.PDF - 26.82 KB
7/31/2010Balanced Financial SecuritiesPDF - 26.27 KB
7/27/2010Hunter, Keith, Marshall & Co., Inc.PDF - 43.45 KB
8/5/2010Hodges Capital Management – <br />First Dallas SecuritiesPDF - 14.63 KB
8/5/2010Foresters Equity Services, Inc.PDF - 24.6 KB
8/12/2010Integrity Investments, Inc.PDF - 35.02 KB
8/12/2010Farragut Capital LLCPDF - 51.32 KB
8/15/2010Stephen KinkadePDF - 15.97 KB
8/17/2010First Asset Financial Inc.PDF - 69.9 KB
8/17/2010Wilson-Davis & Co., Inc.PDF - 18.49 KB
8/17/2010SIFMAPDF - 27.44 KB
8/17/2010Aileen GallagherPDF - 154.1 KB
8/18/2010Regional Bond DealersPDF - 83.66 KB
8/18/2010Trust Advisory Group, Ltd.PDF - 42.75 KB
8/18/2010Allegheny InvestmentsPDF - 307.95 KB
8/18/2010NAIBDPDF - 76.95 KB
8/18/2010Wedbush SecuritiesPDF - 26.7 KB
8/18/2010Real Estate Investment Securities AssociationPDF - 32.04 KB
8/18/2010IBG Trading Inc.PDF - 10.61 KB
8/18/2010Southlake Capital Advisors, Inc.PDF - 14.94 KB
8/18/2010Sutherland Asbill & Brennan LLPPDF - 243.7 KB
8/18/2010Berkshire Bridge Capital, LLCPDF - 21.24 KB
8/18/2010Probitas PartnersPDF - 20.05 KB
8/18/2010IMSPDF - 74 KB
8/16/2010Wachtel & Co., Inc.PDF - 68.08 KB
8/20/2010Citigroup Global Markets, Inc.PDF - 1.85 MB
8/19/2010Bank of America Merrill LynchPDF - 21.31 KB