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The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose View step-by-step instructions for completing your firm's FOCUS filing. You can pause, fast-forward or rewind
FOCUS Reports and net capital or other computations were prepared in accordance with generally (Deductions) in the Statement of Changes in Ownership Equity of the FOCUS Report during the period that the lieu thereof if the nature of their business is limited as described in the instructions to Part II of. Form X-17A-5
This FOCUS Report (Form X-17A-5) constitutes the basic financial and operational report required of those brokers or dealers subject to any minimum net capital requirement set forth in Rule 15c3-1. The instructions issued from time-to-time must be used in preparing this report and are considered integral part of this report.
GENERAL INSTRUCTIONS. The Supplemental Statement of Income (SSOI) is intended to provide more detailed information about a member's revenue and expenses that are reflected on the FOCUS Report (Part II, Part IIA or Part II CSE, as appropriate). The SSOI must be filed by all. FINRA members as a supplement to the
31 Jan 2017 FOCUS REPORT. X-17A-5. (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT). PART II 11. (Please read instructions before preparing Form). This report is being filed pursuant to (Check ApplicableBlock(s)):. 1) Rule 17a-5(a). 2) Rule 17a-5(b). 3) Rule 17a-11. 4) Special request
FOCUS Reports. NFA's Financial Requirements require registered Futures Commission Merchants and Independent Introducing Brokers to electronically file all financial statements, except those that must be certified by a certified public accountant. To file your un-audited financial statements electronically, you must
FOCUS REPORT. X-17A-5. (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT). PART II 11. (Please read instructions before preparing Form). This report is being filed pursuant to (Check Applicable Block(s)):. 1) Rule 17a-5(a). 2) Rule 17a-5(b). 3) Rule 17a-11. 4) Special request by designated
Items 1 - 6 Estimated average burden hours per response. . . . . .12.00. UNITED STATES. SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. 20549. FORM. FOCUS REPORT. X-17A-5. (Financial and Operational Combined Uniform Single Report). PART I. (Please read instructions before preparing Form.).
FOCUS REPORT. FORM X-17A-5. SCHEDULE I. (To be filed annually as of the end of calendar year). Contents. Schedule I. INFORMATION REQUIRED OF ALL BROKERS GENERAL INSTRUCTIONS 17A-5. Schedule I requires the reporting of general information designed to measure certain economic and financial.
NASD Forms. Form U-4, Download. Form U-4 Instructions, Download. Form U-5, Download. Form U-5 Instructions, Download. Form BD, Download. Form BDW, Download. Form U10, Download. SEC Forms. Form 17-H, Download. Form X-17 A-5 Part I, Focus Report Part I, Download. Form X-17 A-5 Part II, Focus Report Part

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mars 2018