SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


Rulemaking Index 
Proposed Rules 
Final Rules 
Interim Final Rules 
Concept Releases 
Interpretive Releases 
Policy Statements 
SRO Rulemaking 
PCAOB Rulemaking 
Exemptive Applications 
Exemptive Orders 
IA Releases 
IC Releases 
IC Deregistrations 
Other Releases 
Rulemaking Petitions 
Exchange Delistings 

  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions

Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)

(Release No. 34-72444; File No. SR-FINRA-2014-028)
Sep. 7, 2014 Suzanne Shatto
Jul. 17, 2014 Holly H. Smith, Sutherland Asbill & Brennan LLP, on behalf of The Committee of Annuity Insurers
Jul. 17, 2014 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC

 

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2014-025/finra2014025.shtml
Contact | Employment | Links | FOIA | Forms | Privacy Policy
Modified: 09/09/2014