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UNITED STATES SECURITIES AND EXCHANGE COMMISSION FOCUS REPORT FORM X-17A-5 FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PART II Please read instructions before preparing Form This report is being filed pursuant to Check Applicable Block s 1 Rule 17a-5 a X 16 3 Rule 17a-11 4 Special request by designated examining authority 5 Other NAME OF BROKER-DEALER SEC.

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17a-5(e)(4) The broker or dealer must file with SIPeport on the SIPC annual general assessment reconciliation or exclusion from membership forms that contains such information and is in such format as determined by SIPC by rule and approved by the Commission.

FOCUS Report Part II (“Part II”) is a report of the U.S. Securities and Exchange Commission (“Commission” or. “SEC”) that is required to be filed by the following: • Brokers or dealers (“broker-dealers”) registered with the Commission under section 15 of the Securities.

What Is SEC Form 4: Statement of Changes in Beneficial Ownership? SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders.

The SEC calls this form a Financial and Operational Combined Uniform Single (FOCUS) Report, as it presents a combination of the financial and operational health of a broker-dealer who is registered with the SEC.

Company insiders must file SEC Form 5 if they had conducted security transactions during the year but failed to report them via SEC Form 4. SEC Form 5 helps to provide proper disclosure of changes in ownership of a company's stock and securities.

The Focus Report, a customizable diagnostic tool, provides executives with an unbiased point of view and actionable business recommendations.

The primary objective of SEC Rule 15c3-3 is to prevent a registered broker-dealer from using customers' assets to finance the broker-dealer's business, except, in certain cases, with respect to serving customers' securities activities effected by the broker-dealer.

Rule 17a-5 requires member firms to file annual financial reports with the SEC and FINRA known as FOCUS reports. FOCUS report stands for Financial and Operational Combined Uniform Single report.

SEC Form X-17A-5 is a financial reporting form that all broker-dealers who are registered with the U.S. Securities and Exchange Commission (SEC) must complete. This form consists of three parts and contains an annual audit that must be performed by a certified public accountant (CPA).

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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232