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Commonly Asked Questions about Focus reports Order Forms

What is FINRA Form BD?

The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the company.

What is the difference between Form ADV and BD?

Form BD is used by broker-dealers to register with the Securities and Exchange Commission (SEC) and state securities authorities, while Form ADV is the registration form for investment advisers.

How to find a form BD?

Form BD is available on the Departments web site or FINRAs web site at .

What are the different types of focus reports?

There are three different FOCUS reports: Part I, Part II, and Part IIA. You will not need to know the specifics of what must be included in each kind of report, only which form must be filed by which broker-dealers and by what date.

How do I access FINRA Focus Reports?

You can locate your scheduled eFOCUS filings by clicking on the Requests Filings tab on the left navigation bar of FINRA Gateway. Once within the Work Management Requests list, you can filter on the requests and filings you view.

Who has to file a focus report?

Both the carrying broker and the introducing broker must report this if their clearing agreement states that such deficits are the liability of the introducing broker.

Is Form BD publicly available?

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

What is the BD form?

Form BD Is the Unlform Applicaoon for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Secuntms and Exchange Commission, the self-regulatory organlatnns, andjurisdictions through the Central Registration Deposttory (CRD) system, operated by the NASD.