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).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 834.88 KB
Federal Register NoticePDF - 202.81 KB
Extension No. 1PDF - 27.02 KB
Amendment No. 1 to Proposed Rule ChangePDF - 172.74 KB
Approval OrderPDF - 204.03 KB