Tag Archives: FINRA Rule 4524

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2018)

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2016)

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2016)

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475

FINRA Rule 4524 Increases Reporting Obligations For Member Firms

Reporting Obligations For FINRA Member Firms Increase Due to FINRA Rule 4524  FINRA Rule 4524 Despite concerns of membership, the Financial Industry Regulatory Authority (FINRA) has laid down yet another mine field for compliance professionals. With the approval of FINRA Rule 4524 (the Rule), starting September 30, 2012, FINRA member firms will now be required to file … Continue reading FINRA Rule 4524 Increases Reporting Obligations For Member Firms