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.

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.

For assistance with interpretation of the data, use the following schema definitions:

• For filings prior to November 1, 2021: XML Schema Definition (XSD)
• For filings on or after November 1, 2021: XML Schema Definition (XSD)

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.