SR-FINRA-2011-064

Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 4524 (Supplemental FOCUS Information) to require each member, as FINRA shall designate, to file such additional financial or operational schedules or reports as FINRA may deem necessary as a supplement to the FOCUS report.  The content of such supplemental schedules or reports would be specified in a Regulatory Notice (or similar communication), which FINRA would file with the SEC pursuant to proposed FINRA Rule 4524.  As part of the proposed rule change, FINRA is filing one such proposed schedule, a supplement to the Statement of Income (Loss) page of the FOCUS Report.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 4.57 MB
Federal Register NoticePDF - 162.56 KB
Extension No. 1PDF - 25.82 KB
Response to CommentsPDF - 438.38 KB
Withdrawal of Amendment No. 1 to Proposed Rule ChangePDF - 21.76 KB
Amendment No. 2 to Proposed Rule ChangePDF - 1017.27 KB
Approval OrderPDF - 166.04 KB