Finra Efocus

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Last updated at November 25th, 2020

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eFOCUS - FINRA

https://www.finra.org/filing-reporting/regulatory-filing-systems/efocus

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 and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.

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eFocus Filing Transmission | FINRA.org

https://www.finra.org/filing-reporting/focus/efocus-filing-transmission

FINRA has implemented new functionality in eFOCUS that allows FINRA member firms to securely transmit FOCUS filings to select financial institutions, including clearing firms. View our online tutorial for detailed transmission instructions and for information about how to view the list of participating institutions.

Status : Online

eFOCUS Frequently Asked Questions | FINRA.org

https://www.finra.org/filing-reporting/efocus/faq

FINRA has implemented functionality in eFOCUS that allows FINRA member firms to securely transmit FOCUS filings to select financial institutions, including clearing firms. View our online tutorial for detailed transmission instructions and for information about how to view the list of participating institutions.

Status : Online

FINRA eFOCUS User Guide

https://www.finra.org/sites/default/files/p118798.pdf

FINRA eFOCUS User Guide FINRA eFOCUS Overview Page 7 of 68 5. Save the filing to ensure all your changes have been updated. You will be provided a confirmation page when the save completes. 6. Run edit checks to determine if you have any fields that are incorrect or invalid. Invalid fields will

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FINRA to Update eFOCUS Filing System to Comply with SEC ...

https://www.findknowdo.com/news/11/07/2018/finra-update-efocus-filing-system-comply-sec-financial-reporting-amendments

FINRA will update the FOCUS filing system for broker-dealers to comply with the SEC's recently adopted amendments to disclosure requirements for SEC-regulated entities. As previously covered, the SEC's adopted amendments were part of an effort to (i) reduce regulatory burden, (ii) align regulations with recent changes in U.S.Generally Accepted Accounting Principles ("U.S. GAAP"), and (iii ...

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Information Notice – 11/23/20 | FINRA.org

https://www.finra.org/rules-guidance/notices/information-notice-112320

Summary To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2021 or the first quarter of 2022.1 Members are reminded that all such filings submitted to FINRA must be made electronically ...

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Form Custody for Broker-Dealers | FINRA.org

https://www.finra.org/filing-reporting/regulatory-filing-systems/efocus/form-custody

The Form Custody should be filed using FINRA’s eFOCUS system, which is available on the Firm Gateway. Will I need a new entitlement to submit the Form Custody? No. If you have entitlement to eFOCUS, you will be able to submit the Form Custody. Entitlement to eFOCUS is coordinated with your Firm’s SAA (Super Account Administrator).

Status : Online

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