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What is SEC Form 17a?

This SEC Form 17-A shall be used for annual reports filed pursuant to Section 17 of the Securities Regulation Code (SRC) and paragraph (1)(A) of SRC Rule 17.1 thereunder. Annual reports shall be filed within one hundred five (105) calendar days after the end of the fiscal year covered by the report.

What is a focus II report?

FOCUS Report Part II (\u201cPart II\u201d) is a report of the U.S. Securities and Exchange Commission (\u201cCommission\u201d or. \u201cSEC\u201d) that is required to be filed by the following: \u2022 Brokers or dealers (\u201cbroker-dealers\u201d) registered with the Commission under section 15 of the Securities.

How often are Focus reports filed?

This is done via the filing of a FOCUS Report, often submitted electronically using FINRA's eFOCUS system to maximize security, accuracy, and proper documentation. Usually, ACI submits the formal report for member firms every month of the year.

What is a focus report finance?

FOCUS report stands for Financial and Operational Combined Uniform Single report. These reports are similar to financial statements in that they provide net capital information and related operational information. There are three different FOCUS reports: Part I, Part II, and Part IIA.

Who has to file a focus report?

FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.

What is the SEC customer protection rule?

The Customer Protection Rule requires registered broker-dealers to safeguard the investment assets of their customers. The rule is designed to protect those customers from monetary losses and delays that can occur when that firm fails.

What is 15c3 lockup?

Introduction. \u25c6 Rule 15c3-3 of the SEC (Customer Protection Reserves and Custody of Securities) requires broker dealers that hold. customer securities to obtain and maintain possession and control of fully paid and excess margin securities they hold for customers.

What is SEC Rule 15c3 3?

Securities and Exchange Commission (SEC) Rule 15c3-3 requires brokerage firms to maintain secure accounts. Also known as the Customer Protection Rule, SEC Rule 15c3-3 is part of the Code of Federal Regulations. It ensures that brokerage clients can withdraw assets at any time, and a brokerage has to work to uphold it.

What is SEC Rule 15c3 5?

Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to \u201cappropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading ...

How do I amend a focus report?

You can amend a submitted eFOCUS report by navigating to your Work Management Requests list, selecting the \u201cCompleted\u201d tab to view all previously submitted filings, then selecting the Filing Actions icon (Ellipsis icon) on your filing in the Requests List. You will see an option to \u201cCreate Amendment\u201d.

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