Broker Dealer Focus Report Instructions

The SIS must be filed by a firm that is required to file FOCUS Report Part I

I, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting ...

To Report the Operating Lease Asset on FOCUS Report Part II, Part IIA and Pa

rt II CSE, members should report the operating lease asset on the line “Property, furniture, equipment, leasehold improvements and rights under lease agreements” by reporting the portion of the asset to be added back in Box 490 (“Allowable” column) and by reporting any non-allowable portion of the asset in Box 680 (“Non-Allowable” column).

FOCUS reports (i.e. is not capital computing) is required to file FOCUS Repo

rt Form X-17A-5 Part IIA (CBOE) and Schedule I. Therefore, if you are a nominee of a broker-dealer and have an individual broker-dealer registration, FOCUS filings must be two made, one for your individual broker-dealer registration, and one for the firm.

The eFOCUS system provides firms with the capability to electronically submi

t their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.

Firms should consult new FAQ 12.1 in the "Frequently Asked Questions Concern

ing the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule" that the SEC staff has published and, in addition, FAQ 3 in the FAQs that FINRA has made available to assist firms that may have questions about their FOCUS Report filings in light of the ...

SEC Form X-17A-5 is a financial reporting form that all broker-dealers who a

re registered with the U.S. Securities and Exchange Commission (SEC) must complete. This form consists of three parts and...

SEC rule 17a-5 requires every broker dealer to prepare a net capital computa

tion within 17 business days of month end. A FINRA Financial and Operational Combined Uniform Single (FOCUS) report includes a balance sheet, income statement, net capital calculation, and equity reconciliation.

Focus report "is the fundamental reporting form used by broker-dealers to re

port financial conditions to the regulatory agencies" (The Securities Institute of America, Inc., 2015, s. 89). More specifically it is called a SEC Form X-17A-5 and it must be completed by all broker-dealers registered with the U.S. Securities and Exchange Commission (SEC).

Details outlining security and exchange commisison form FOCUSN. Feed of late

st filings.

Review the brokerage firm’s Focus Report (X-17A-5) The SEC requires broker

age firms to file an annual Focus Report (X-17A-5). Part III of the Focus Report requires the firm to disclose financial information such as a statement of financial condition, computation of net capital, and a statement of changes in liabilities.

The attention of the broker or dealer and the independent public accountant

is called to the fact that under § 240.17a-11(a)(1), among other things, a broker or dealer whose net capital declines below the minimum required pursuant to § 240.15c3-1 must give notice of such deficiency that same day in accordance with § 240.17a-11(h) and the notice must specify the broker or dealer's net ...

(FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT) PART II CSE Iii]

(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) 4) Special request by designated examining authority ITrr] lliJ 3)Rule17a-11 [Iii] 5)0ther NAME OF BROKER-DEALER SEC.

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The data provided in the FR 2052a report meets this need. The crisis highlig

hted the importance of understanding intra-company flows and exposures within a consolidated institution. Capturing such flows is a focus of the FR 2052a, particularly at large, systemically important, globally active U.S. banking institutions.

These broker-dealers file the FOCUS Report pursuant to a plan established by

the broker-dealer's self-regulatory organization (“SRO”), the procedures and provisions of which have been submitted to and declared effective by the Commission pursuant to paragraph (a)(3) of Exchange Act Rule 17a-5.

SEC Form 17-H: A report that is filed by a securities broker -dealer with th

e Securities and Exchange Commission, disclosing its business activities related to risk assessment. Required reporting ...

BrokerCheck is a trusted tool that shows you employment history, certificati

ons, licenses, and any violations for brokers and investment advisors.

Broker-Dealer Calendar FINRA Regulatory Form Filing Requirements. Use our Go

ogle Calendar with FOCUS Filing, Form Custody, SSOI, OBS, SIS schedule and filing dates to help manage brokerage compliance & regulatory requirements.Sort the calendar by month, specific dates, or change the layout and select Agenda for a list style view.

In 2012, FINRA Rule 4524 regulated broker dealers were delegated the respons

ibility of filing quarterly SSOI – Supplemental Schedules of Income in addition to their FOCUS Report. The SSOI is an extension of the income statement included on the FOCUS Report filing.

An applicant must file concurrently with the audit report a supplemental rep

ort by the accountant describing any material inadequacies found to exist as of the date of the Form 1-FR being filed: Provided, however, That if such applicant is registered with the Securities and Exchange Commission as a securities broker or dealer, and it files (in ...

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 examining authority 5) Other NAME OF BROKER-DEALER SEC. FILE NO. ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.) FIRM ID NO. FOR PERIOD BEGINNING (MM/DD/YY) (No. and Street)

A FINRA BD Firm seeking to license in the State of Colorado should take the

following steps to file a broker-dealer application: Step 1) Deposit in your CRD account the appropriate fees for your firm and the associated representatives. Step 2) Electronically file an Amended Form BD, designating Colorado as the recipient, through CRD. The form contains filing instructions.

Because broker-dealers and their partners, directors, officers, and employee

s are subject to Rule 17f-2, the order applies to broker-dealers and their personnel, and firms relying on the order ...

The exemption report will provide the SEC and the broker-dealer's DEA with m

ore information than currently is reported by non-carrying broker-dealers in the FOCUS report. The SEC seeks to identify exceptions to the exemptive provisions in paragraph (k) of Rule 15c3-3 in order to assess the nature, extent, and significance of the exceptions.

Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) Download Free Pr

int-Only PDF OR Purchase Interactive PDF Version of this Form. Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) Form. This is a Official Federal Forms form and can be use in Securities And Exchange Commission.

Form X-17A-5 Focus Report Part I (SEC1705) Download Free Print-Only PDF OR P

urchase Interactive PDF Version of this Form. Form X-17A-5 Focus Report Part I (SEC1705) Form. This is a Official Federal Forms form and can be use in Securities And Exchange Commission.

Moreton Capital Markets, LLC, is a registered broker-dealer with an experien

ced team of investment professionals serving institutional investors from various central and western U.S. locations. We are committed to deliver: A consultative approach driven by capital preservation, liquidity, and then yield.

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UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549 FORM 1

-ZEXIT REPORT UNDER REGULATION AGENERAL INSTRUCTIONS(1) The following information must be provided in the XML-based Form 1-Z available through the EDGAR portal.

At FOCUS Investment Banking, client information remains private and protecte

d under the law. ... Clear unsubscribe instructions are part of every FOCUS newsletter and other marketing communications. FOCUS collects nonpublic personal information about you from the following sources: ... registered broker dealer and member FINRA/SIPC.

Oath or Affirmation I, HOMAR MAURAS, swear (or affirm) that, to the best of

my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CITI INTERNATIONAL FINANCIAL SERVICES LLC, as of 12-31-2018, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any ...

5/2003 STATE OF NEW JERSEY DEPARTMENT OF LAW AND PUBLIC SAFETY DIVISION OF C

ONSUMER AFFAIRS BUREAU OF SECURITIES BROKER-DEALER SUPPLEMENT INSTRUCTIONS: This application must be : RECEIPT filed by a person desiring to transact : business as a Broker-dealer. ... Part II or Part II A of the applicants latest quarterly FOCUS report may be ...

In April 2016, the Securities and Exchange Commission (SEC) approved a propo

sed amendment to FINRA Rule 4524 (Supplemental FOCUS Information). The approved amendment alters the instructions to the Derivatives and Other Off-Balance Sheet Items Schedule (OBS), expanding the application of the OBS to certain non-carrying or non-clearing firms with significant amounts of off-balance sheet obligations.

LLC - Most recent Focus report if Audited F/S is more than 6 mo. old LLP - M

ost recent Focus report if Audited F/S is more than 6 mo. old ... FINRA Member Broker-Dealers: ... in accordance with the instructions on Form U-4. All material information on the Form U-4 on file with the Bureau must be current at all times. RENEWALS.

INX Limited has poached Bob Ejodame, who spent his 15-year career working in

the FX industry, as the crypto exchange is flexing its muscles across the mainstream finance space. He has already stepped into his new role as Head of Operations earlier in December. Bob will be tasked with running INX’s Trading Platforms on which institutional and retail investors will be trading cryptocurrencies ...