Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.


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).

Title Format - Size Status
Text of Proposed Rule Change PDF - 1.11 MB
Federal Register Notice PDF - 210.44 KB
Extension No. 1 PDF - 57.86 KB
Amendment No. 1 to Proposed Rule Change PDF - 369.23 KB
Approval Order PDF - 207.16 KB