Regulatory Notice 19-02

FINRA Updates Supplemental Statement of Income

Implementation Date: The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.

Summary

FINRA is updating the Supplemental Statement of Income (SSOI) to conform with amendments adopted by the SEC that simplify and update certain of the FOCUS reporting requirements for broker-dealers. Pursuant to Rule 4524, the SSOI must be filed by all FINRA members as a supplement to the FOCUS Report within 20 business days after the end of each calendar quarter. FINRA is making available the updated SSOI instructions and form, as well as a resource that illustrates the SSOI form updates.

The updated SSOI applies beginning with all SSOI filings that report on the period January 1 through March 31, 2019, and are due by April 26, 2019.

Questions concerning this Notice should be directed to:

  • Yui Chan, Senior Director, Risk Oversight and Operational Regulation (ROOR), at (646) 315-8426;
  • Ann Duguid, Senior Director, ROOR, at (646) 315-7260; or
  • Anthony Vinci, Director, ROOR, at (646) 315-8335.

Related Documents: 

DateTitleFormat - Size
1/8/2019Illustration of SSOI UpdatesPDF - 406.39 KB
1/8/2019SSOI FormPDF - 673.41 KB
1/8/2019SSOI InstructionsPDF - 590.56 KB