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Regulatory Notice 13-05

FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions

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: