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Attach a copy of incident report if applicable Over exposure of the whole body to 5 rems or more Exposure of an individual to radiation in excess of any applicable limit set forth in the rules Levels of radiation in an uncontrolled area in excess of 10 times any applicable limit set forth in the rules Page 1 of 2 Briefly describe circumstances of the incident Attach additional sheet if necessary CATEGORY OF STAFF INVOLVED IN THE INCIDENT Check all that apply Radiologist Radiological Technician ...

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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.

What is a report focus?

The Focus Report, a customizable diagnostic tool, provides executives with an unbiased point of view and actionable business recommendations. It measures the overall financial health of an organizations people, processes, and systems by identifying risks, critical gaps, and opportunities in key functional areas.

What is 17A 5?

SEC Form X-17A-5 is a financial reporting form that all broker-dealers who are registered with the U.S. Securities and Exchange Commission (SEC) must complete. This form consists of three parts and contains an annual audit that must be performed by a certified public accountant (CPA).

What is form x 17a 5?

SEC Form X-17A-5 must be filled out by all broker-dealers that are registered with the SEC, as mandated by Section 17 of the Securities Exchange Act of 1934 Rule 17a-10(a)(1). 1 The form is used to report a broker-dealers financial and operating conditions.

What is included in a focus report?

A FINRA Financial and Operational Combined Uniform Single (FOCUS) report includes a balance sheet, income statement, net capital calculation, and equity reconciliation. The intent is to demonstrate to regulators the financial position of the firm and its ability to maintain sufficient net capital.

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What are the different types of focus reports?

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.

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