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FINRA Requests Comments: Rule 4521 ( Notifications, Questionnaires, and Reports)

March 8, 2018

Comments are due March 8, 2018, on FINRA proposed amendments to FINRA Rule 4521 (Notifications, Questionnaires and Reports) that would require specified member firms to notify FINRA no more than 48 hours after specified events that may signal an adverse change in liquidity risk. FINRA also seeks comment on a proposed new Supplemental Liquidity Schedule (SLS) that member firms with the largest customer and counterparty exposures would file as a supplement to the FOCUS Report. See Regulatory Notice 18-02


March 8, 2018
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