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FOCUS REPORT FORM X-17A-5 SCHEDULE I The term “public customer” shall mean any person from whom or on whose behalf a broker or dealer has received
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16.05.2017 · How to Check a Broker Dealer With FINRA. Before a broker-dealer can sell securities, they must register with FINRA, the Financial Industry Regulatory Authority. FINRA
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FINRA staff review the FOCUS Report to monitor the broker-dealer's financial trends and to determine if the firm has maintained Modern Regulatory Services LLC
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The haircut values of securities are used to compute the liquidation value of a broker-dealer's Financial reports filed net capital rule applied to broker
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Originals of all communications received and copies of all communications sent by such member, broker or dealer (known as FOCUS reports)
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Definition of focus report: Monthly or quarterly report that is submitted to self-regulatory organizations by an NYSE member that details net capital
About Broker-Dealers and Broker Dealer Agents
Series 27 & 28- Other SEC & FINRA Rules. records by a broker/dealer and the posting of reports and broker/dealers must file a FOCUS Report Part I monthly
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These amendments had a significant impact on the annual reporting requirements computation in the most recent FOCUS report filed by the broker-dealer,
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Is my Brokerage Firm Financially Healthy? How to Choose a Review the brokerage firm’s Focus Report except with prior written permission by JUX Law Firm.
76 FR 37571 - Broker-Dealer Reports
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What Is A “Broker-Dealer” And Why Should You Care? By Lisa Smith | Updated The primary focus of the Series 7 exam is on investment risk,
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01.08.2010 · Replacing SAS 70 if management of a user entity instructs a broker-dealer to purchase or sell investments on its behalf In a type 2 report,
FOCUS Report 2014 Deadlines for Broker-Dealers. FINRA detailed the 2014 deadlines for broker-dealer firms to file their FOCUS reports. To comply with SEC Rule 17a-5