4524. Supplemental FOCUS Information
As a supplement to filing FOCUS reports required pursuant to SEA Rule 17a-5 and FINRA Rule 2010, each member, as FINRA shall designate, shall 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. The content of such schedules or reports, their format, and the timing and the frequency of such supplemental filings shall be specified in a Regulatory Notice (or similar communication) issued pursuant to this Rule. FINRA shall file with the SEC pursuant to Section 19(b) of the Exchange Act the content of any such Regulatory Notice (or similar communication) issued pursuant to this Rule.
|Adopted by SR-FINRA-2011-064 eff. Feb. 28, 2012.
Selected Notice: 12-11.
- Regulatory Notice 19-02January 08, 2019
- Regulatory Notice 18-39December 03, 2018
- Regulatory Notice 18-38November 05, 2018
- Regulatory Notice 18-02January 08, 2018
- Regulatory Notice 16-11April 05, 2016
- Regulatory Notice 14-43October 23, 2014
- Regulatory Notice 13-32October 09, 2013
- Regulatory Notice 13-05January 24, 2013
- Regulatory Notice - 13-10March 04, 2013
- Information Notice - 12/3/12December 03, 2012
- Regulatory Notice 12-11February 28, 2012
- Regulatory Notice 12-23May 04, 2012