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Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-019

Last Reviewed or Updated: Sept. 9, 2026

Resources

Notice Rule: SEC Issued Version (pdf 185.71 KB)

Exhibit 5

Details

Public Comments Due

Sept. 30, 2026

File Number

SR-FINRA-2026-019

Rule Type

Notice

Release Number

34-106269

SEC Issue Date

Sept. 3, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments

Public Comments

Resources

Details

More in this Section

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments

Public Comments

Resources

Details