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eFOCUS Frequently Asked Questions

  1. How do I entitle someone to access an eFOCUS report?
  2. Where are eFOCUS filings located in the redesigned FINRA Gateway?
  3. How do I transmit an eFOCUS filing to my clearing firm?
  4. When are my eFOCUS filings due?
  5. Where can I see previously filed eFOCUS reports?
  6. How do I amend a submitted eFOCUS report?
  7. How do I print an eFOCUS report?
  8. We are a newly registered member firm and when I click on eFOCUS, it says I am not configured. Why is this the case?
  9. How do I export my eFOCUS filings?
  10. Does my firm need to continue submitting FOCUS filings if we have submitted a Form BDW?
  11. Can I electronically sign my firm's FOCUS filing in eFOCUS?
  12. Is it possible to include additional information in my filing that I anticipate being asked to provide by my firm's Risk Monitoring Analyst?
  13. If my firm relies on more than one of the exemption provisions in paragraph (k)(2) of SEA Rule 15c3-3 (i.e., paragraphs (k)(2)(i) and (k)(2)(ii)), may I indicate more than one exemption to Rule 15c3-3 in my firm’s FOCUS Report filing?

1. How do I entitle someone to access an eFOCUS report?

A firm user’s entitlements can be adjusted by the firm’s SAA (Super Account Administrator). An SAA can adjust entitlements in the User Administration section of FINRA Gateway. The firm’s SAA is designated by using the “SAA Update Replace” form for existing firms and the “New Organization SAA Entitlement” form for new firms. On the form it asks who the firm would like its SAA to be and then requires a direct owner or executive officer at the firm sign off on the agreement. The SAA Update Replace form can be requested either by emailing us by having an individual at the firm call us at (301) 590-6500 to request the form be sent out.

2. Where are eFOCUS filings located in the redesigned FINRA Gateway?

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.

3. How do I transmit an eFOCUS filing to my clearing firm?

You can transmit a submitted eFOCUS filing by navigating to the “Completed” tab of your Work Management Requests list in FINRA Gateway, selecting a filing you want to submit, and opening the submitted filing. In the top right corner of your eFOCUS filing, there is a “Filing Actions” dropdown button. If your filing can be transmitted, select “Transmit Filing” and proceed to select your clearing firm(s) and confirm your transmission.

4. When are my eFOCUS filings due?

Due dates for FOCUS filings can be found on the Filing Due Dates page.

5. Where can I see previously filed eFOCUS reports?

You can view historical filings by navigating to your Work Management Requests list and selecting the “Completed” tab to view all previously submitted filings.

6. How do I amend a submitted eFOCUS report?

You can amend a submitted eFOCUS report by navigating to your Work Management Requests list, selecting the “Completed” 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 “Create Amendment”. Once you verify your intention to create an amendment, your previous filing’s values will populate in your amendment and you can make any adjustments you need. Once your amendment is created and modified, you can then re-submit by navigating to the Form Summary Review page and selecting “Submit” on the bottom banner.

7. How do I print an eFOCUS report?

In your Work Management Requests list, select the filing you wish to print. Once your filing is open, click on the “Form View” button on your bottom banner. You will be able to add a timestamp and filing status to your PDF filing, which you can then print in your browser window.

8. We are a newly registered member firm and when I click on eFOCUS, it says I am not configured. Why is this the case?

If you are a new firm, you will need to register your firm’s eFOCUS users. You will need to designate an SAA (Super Account Administrator) by completing and submitting the “New Organization SAA Entitlement” form for new firms. On the form it asks who the firm would like its SAA to be and then requires a direct owner or executive officer at the firm sign off on the agreement. Once an SAA is designated, the SAA can configure entitlements for other users at the firm.

9. How do I export my eFOCUS filings?

You can export any eFOCUS filing at any point during your filing process. You can export a scheduled filing in your Work Management Requests list under the “Active” tab or a submitted filing in your Work Management Requests list under the “Completed” tab. Open the filing you want to export and select the “Filing Actions” dropdown button in the top right of your filing screen. Select “Export” and you will be presented with a pop-up where you can select the file type (Excel, XML, and TXT files) you want to export.

10. Does my firm need to continue submitting FOCUS filings if we have submitted a Form BDW?

Yes. You must continue to submit regularly scheduled FOCUS filings for your firm until your firm's termination becomes effective. In addition, under SEA Rule 17a-5, you must submit a final FOCUS filing within two business days of the effective date of your termination.

11. Can I electronically sign my firm's FOCUS filing in eFOCUS?

No. It is not possible to electronically sign your firm's FOCUS filing through eFOCUS.

12. Is it possible to include additional information in my filing that I anticipate being asked to provide by my firm's Risk Monitoring Analyst?

Yes. By using Line Item Tools (the ellipsis icon to the right of a selected field), such as the memos or itemizations features in eFOCUS, you can store additional information in each of your filings at the line item level. This information can be viewed by your Risk Monitoring Analyst once your filing has been submitted. You can also add a memo for your Risk Monitoring Analyst at the filing level using the Filing Memo feature found in your Filing Actions dropdown.

13. If my firm relies on more than one of the exemption provisions in paragraph (k)(2) of SEA Rule 15c3-3 (i.e., paragraphs (k)(2)(i) and (k)(2)(ii)), may I indicate more than one exemption to Rule 15c3-3 in my firm’s FOCUS Report filing?

Yes. Firms should consult new FAQ 12.1 in the "Frequently Asked Questions Concerning the July 30, 2013 Amendments to the Broker-Dealer Financial Reporting Rule" that the SEC staff has published and, in addition, FAQ 3 in the FAQs that FINRA has made available to assist firms that may have questions about their FOCUS Report filings in light of the SEC staff's guidance.