WebOct 5, 2024 · FOCUS Report, Part II Instructions. Feb. 1, 2004 X-17A-5 Part II. Downloads. pdf formx-17a-5_22.pdf (215.84 KB) Modified: Oct. 5, 2024 STAY … WebJun 9, 2024 · FOCUS Report Part IIA is unchanged. The SEC’s new FOCUS reporting requirements, and the revised SIS, will apply beginning with FOCUS reports and SIS filings that report on the period ending October 31, 2024 and are required to be filed in November 2024. Additionally, to improve members’ filing experience, FINRA is making available a ...
FOCUS Report Part II Definition Law Insider
WebFOCUS REPORT (Financial and Operational Combined Uniform Single Report) PART IIA 12 (Please read instructions before preparing Form.) This report is being filed pursuant to (Check Applicable Block(s)): 1) Rule 17a-5(a) 16 . 2) Rule 17a-5(b) 17 . 3) Rule 17a-11. 18. 4) Special request by designated examining authority. 19 . 5) Other. 26 WebOct 26, 2024 · Under the order, a Covered Entity without a prudential regulatory must file the FOCUS Report Part II 35 calendar days after the end of the month.24A Covered Entity with a prudential regulator must file the FOCUS Report Part IIC 35 calendar days after the end of the quarter. 25 B. Format of Filing i. powell\u0027s burnside
Form X-17A-5 Part IIA - FLRules
WebOMB APPROVAL. OMB Number: 3235-0123 Expires: April 30, 2013 UNITED STATES Estimated average burden SECURITIES AND EXCHANGE COMMISSION hours per response. . . . . .12.00 Washington, D.C. 20549. FORM X-17A-5 PART II (FOCUS Report) GENERAL INSTRUCTIONS This FOCUS Report (Form X-17A-5) constitutes the basic … Web• Part II filers or Part II • Part IIA filersAor Part II SPECIFIC INSTRUCTIONS Instructions are not intended to be comprehensive, but are included to provide clarity. Terms used in … WebDec 3, 2024 · FOCUS Reports Firms must file FOCUS Reports electronically through the eFOCUS System available via FINRA Gateway. For more guidance, click here. Monthly and Fifth FOCUS Part II/IIA Filings: Period Ending and Due Dates January 31, 2024 – Due: February 24, 2024 February 28, 2024 – Due: March 23, 2024 April 30, 2024 – Due: May … towels and washcloths for wedding gift