Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a supplementary schedule for derivatives and other off-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).

DateTitleFormat - SizeStatus
11/15/2012Text of Proposed Rule ChangePDF - 834.88 KB
11/27/2012Federal Register NoticePDF - 202.81 KB
1/9/2013Extension No. 1PDF - 27.02 KB
2/1/2013Amendment No. 1 to Proposed Rule ChangePDF - 172.74 KB
2/11/2013Approval OrderPDF - 204.03 KB