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. 

How to Receive FOCUS Filing Transmissions

Financial institutions interested in receiving FOCUS filing transmissions must be approved by FINRA. To begin the approval process, contact the Gateway Call Center at (301) 869-6699.

The XML Schema Definition (XSD) will assist you with interpretation of the data.

If approved, the financial institution is required to establish a Secure File Transfer Protocol (SFTP) connection with FINRA. Once the connection has been established, the financial institution can retrieve (PULL) an XML-formatted file from eFOCUS on a daily basis (Monday – Friday). The file will contain only those FOCUS filings designated by FINRA firms for transmission.