FOCUS Report definition

FOCUS Report means, for any Person, the Financial and Operational Combined Uniform Single Report required to be filed on a monthly or quarterly basis, as the case may be, with the Commission or the NYSE, or any report that is required in lieu of such report.

FOCUS Report the Financial and Operational Combined Uniform Single Report on Form X-17A-15. A “Part II FOCUS Report” is a report filed on Form X-17A-5 Part II.

FOCUS Report a Financial and Operational Combined Uniform Single Report required to be filed on a quarterly basis with the SEC and the NASD or the Exchange, as applicable, or any report which is required in lieu of such report, or any equivalent reporting statement required by the applicable regulatory agency for any Designated Subsidiary.

Examples of FOCUS Report in a sentence

• The Statement of Segregation Requirements and Funds in Segregation for Customers Trading on US Exchanges, the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to CFTC Rule 30.7, and the Statement of Cleared Swaps Customer Accounts Under Section 4d(f) of the CEA that are part of the futures commission merchant's FOCUS Report for the most current 12-month period.

• Upon executing and returning this Agreement, Broker shall also provide SLK with a copy of its most recent FOCUS Report, its Form 80 and any amendments thereto, and Form U-4s (including DRPs, if any) for all individuals listed on Schedules A and B of Form BD (i.e., direct owners, executive officers, indirect owners or other control affiliates).

• If your firm is not required to file a FOCUS Report, please provide a copy of your firm’s most recent audited financial statement.

• IBs that are registered with the SEC as B/Ds may file an annual FOCUS Report with NFA in lieu of the Form 1–FR–IB.

• IBs that also are registered with the SEC as a B/D may file a FOCUS Report in lieu of a Form 1–FR–IB.

More Definitions of FOCUS Report

FOCUS Report means each Financial and Operational Combined Uniform Single Report (FOCUS) (SEC Form X-17A-5) completed and executed by Xxxxx Xxxxxxx & Co. and filed with the SEC.

FOCUS Report means any Financial and Operational Combined Uniform Single report of the Capital Protection Provider provided by the Capital Protection Provider to the Commission.

FOCUS Report. The Financial and Operational Combined Uniform Single Report required to be filed on a monthly or quarterly basis, as the case may be, with the Commission or the NYSE, or any report that is required in lieu of such report.

FOCUS Report means a Financial and Operational Combined Uniform Single Report of ZSC required to be filed with the SEC or the NASD or any report which is required in lieu of such report.

FOCUS Report means, as to any registered broker-dealer, the Form X-17A-5 promulgated by the SEC that is completed by such entity.

FOCUS Report means each duly completed and executed SEC Form X-17A-5 submitted to the SEC.

FOCUS Report has the meaning assigned in Section 5.03(g).