Tag Archives: Rule 4521

FINRA Requests Comments on Proposed Amendments to FINRA Rule 4521

FINRA is seeking comment on 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 … Continue reading FINRA Requests Comments on Proposed Amendments to FINRA Rule 4521