Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions 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 supplemental schedule for inventory positions pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).

DateTitleFormat - SizeStatus
6/16/2014Text of Proposed Rule ChangePDF - 1.11 MB
6/26/2014Federal Register NoticePDF - 210.44 KB
8/8/2014Extension No. 1 PDF - 57.86 KB
9/22/2014Amendment No. 1 to Proposed Rule ChangePDF - 369.23 KB
9/29/2014Approval OrderPDF - 207.16 KB