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Web-Based FOCUS

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Reminder

The Web-based FOCUS system allows member firms the option to specify up to five Internet electronic mail addresses to send FOCUS reports. Members that choose to send copies of FOCUS reports to third parties are responsible for working with the third party to obtain the specific e-mail address, define business processes, and resolve any issues. Members should verify periodically that the e-mail address that they are sending a FOCUS report to is correct and valid in order for the third party to continue receiving copies of FOCUS report submissions.

Questions regarding this reminder may be directed to (800) 321-6273 or send an email.
 

FINRA members are required to compose and submit Financial and Operational Combined Uniform (FOCUS) reports to FINRA as required under SEC Rule 17a-5.

• You may go directly to the Regulation Filing Applications by clicking https://regfiling.finra.org.
• Questions regarding the information to be filed can be directed to the appropriate district office. Business and technical questions can be directed to (800) 321-6273.

Please view this other important information about Web-Based FOCUS.

• 2007 Filing Due Dates
  
  
• Letters to Members
• • Web-Based FOCUS Information
    View important information for members about this new system.
    
    
  • Letter from NASD Regulation President Mary L. Schapiro
    View announcement of the Web-Based FOCUS system.
    
    
• Notice to Members 99-70
  
  
• Fall 1999 Regulatory & Compliance Alert Article