Regulatory Notice 13-41

eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants

Effective Date: Monthly FOCUS Report Part II and Part II CSE Due on February 26, 2014, Covering the January 31, 2014, Reporting Period

Executive Summary

Beginning with the monthly FOCUS Report that is due on February 26, 2014 (covering the January 31, 2014, reporting period), FINRA is updating specified reporting schedules under the eFOCUS system to incorporate several of the new financial reporting requirements the Commodity Futures Trading Commission (CFTC) has adopted. Each member firm that is a futures commission merchant (FCM) must file the updated schedules as part of its monthly FOCUS Reports. The modified version of the FOCUS Report Part II and Part II CSE, which will include the updated CFTC schedules, will be available through FINRA’s eFOCUS system beginning Monday, February 10, 2014.

Questions regarding this Notice should be directed to:

  • Yui Chan, Managing Director, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8426; or
  • Susan DeMando Scott, Associate Vice President, ROOR, at (240) 386-4620.