eFOCUS Form Import Templates
Below are form layout templates for firms that use the import feature in eFOCUS to file their FOCUS filings.
Please note that the template headers, columns, and line item IDs provided should not be modified or removed, as this will impact the compatibility of the import templates in the system.
Additionally, fields adhere to certain input formatting, such as text fields, numeric fields, or checkbox fields. Therefore, inputting incompatible field formats into your import template, will result in an error (e.g., putting text into a numeric-only input field, and checkbox and radio button input fields both require an “X” input in the Excel templates).
Part IIA
| Method Used to Compute Net Capital Requirement (SEA Rule 15c3-1) | Download Template | ||
|---|---|---|---|
| Basic Method | Excel File | XML File | TXT File |
| Not using the Basic Method | Excel File | XML File | TXT File |
Part IIA Short
| Method Used to Compute Net Capital Requirement (SEA Rule 15c3-1) | Download Template | ||
|---|---|---|---|
| Basic Method | Excel File | XML File | TXT File |
| Not using the Basic Method | Excel File | XML File | TXT File |
SSOI
OBS
SIS
SLS
Schedule I
- Schedule I Import Template - Excel File
- Schedule I Import Template - XML File
- Schedule I Import Template - TXT File
Custody
- Custody Import Template - Excel File
- Custody Import Template - XML File
- Custody Import Template - TXT File
Part II
For more information regarding the amended FOCUS Report Part II, please review Information Notice 6/3/21.
Part II – Amended Instructional Import Templates
The following includes “example” Excel import files specific to each firm type filing the Amended Part II FOCUS form. These files include the line item ID numbers, line item descriptions, line item input type, and expected type of line item input values of each field on the form applicable to a given firm type.
| Firm Type | Authorized to use Models (see FOCUS Part II box 12006) | Method Used to Compute Net Capital Requirement (SEA Rule 15c3-1) | Download Template |
|---|---|---|---|
| Stand-Alone Broker Dealer | Not Authorized To Use Models | Basic Method | Example Excel File |
| Not using the Basic Method | Example Excel File | ||
| Authorized to Use Models | Basic Method | Example Excel File | |
| Not using the Basic Method | Example Excel File | ||
| Broker Dealer SBSD | Not Authorized To Use Models | Basic Method | Example Excel File |
| Not using the Basic Method | Example Excel File | ||
| Authorized to Use Models | Basic Method | Example Excel File | |
| Not using the Basic Method | Example Excel File | ||
| Broker Dealer MSBSP | Not Authorized To Use Models | Basic Method | Example Excel File |
| Not using the Basic Method | Example Excel File | ||
| Authorized to Use Models | Basic Method | Example Excel File | |
| Not using the Basic Method | Example Excel File |
Please note, these templates are instructional and cannot be imported in this format. Please use these example templates for reference when populating your compatible eFOCUS import templates provided in the “Part II – Amended” files above.