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)

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Date Received
Date Letter Type Commenter Name
Public Comment Suzanne Shatto
Public Comment Holly H. Smith, Sutherland Asbill & Brennan LLP, on behalf of The Committee of Annuity Insurers
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-025
Release Number
34-72444
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