Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
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.
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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|Attachment to Regulatory Notice 13-05||PDF - 37.73 KB|