Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Published Date:
Supplemental FOCUS Information
| Regulatory Notice | |
| Notice Type Request for Comment |
Suggested Routing Compliance Finance Legal Operations Regulatory Reporting Senior Management |
| Key Topics FOCUS Reporting |
Referenced Rules & Notices FINRA Rule 4524 |
Executive Summary
FINRA Rule 4524 (Supplemental FOCUS Information) requires each firm, as FINRA shall designate, to file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest as a supplement to the FOCUS Report. FINRA requests comment on one such proposed schedule, a supplemental schedule for inventory positions.
The text of the proposed supplemental schedule can be found at www.finra. org/notices/13-05.
Questions concerning this Notice should be directed to:
• Kris Dailey, Vice President, Risk Oversight & Operational Regulation, at (646) 315-8434; or
• Matthew E. Vitek, Assistant General Counsel, Office of General Counsel, at (202) 728-8156.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments:
Displaying 1 - 4 of 4
| Date | Commenter |
|---|---|
| Pat Nelson Comments on Regulatory Notice 13-05 | |
| Jim Nelson Comments on Regulatory Notice 13-05 | |
| Wachtel & Co Inc Comments on Regulatory Notice 13-05 | |
| Integrated Management Solutions USA LLC Comments on Regulatory Notice 13-05 |