Part II FOCUS Report definition

Part II FOCUS Report is a report filed on Form X-17A-5 Part II.
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Examples of Part II FOCUS Report in a sentence

  • All areas of San Juan County are vulnerable to storms, high winds, extended periods of heavy rain, freezing temperatures, and snow.

  • When one project-supported marketing group had difficulties with their export buyers, they were able to sell the honey to local traders, and consequently did not suffer catastrophic loss (Lowore 2014).

  • These exceptions will not only minimize the burden on firms, but also will allow FINRA to focus its resources where the risk is most concerning.The proposed SIS is intended tocapture more details of a firm’s long and short inventory positions than what is captured on the FOCUS Report Part II, FOCUS Report Part IIA and FOGS Report Part I.

  • Greater of amount required to be set aside pursuant to foreign jurisdiction (above) or line 6 $ 13,409 There are no material differences between the computations shown in the supplemental financial information as presented in this report and the corresponding computations prepared by GS&Co. included in its December 31, 2022, unaudited Part II FOCUS Report, as filed on January 26, 2023.

  • Report”).6 FINRA established the SIS requirement pursuant to Rule 4524 in 2014.7 Pursuant to this requirement, the SIS must be filed by a member that is required to file FOCUS Report Part II, FOCUS Report Part IIA or the FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the member has (1) a minimum dollar net capital or liquid capital requirement of less than$100,000; or (2) inventory positions consisting only of money market mutual funds.

  • Excess (deficiency) funds in segregation over (under) management target amount excess$ 208 There are no material differences between the computations shown in the supplemental financial information as presented in this report and the corresponding computations prepared by GS&Co. included in its December 31, 2023, unaudited Part II FOCUS Report, as amended and filed on February 21, 2024.

  • The proposed Supplemental Inventory Schedule (‘‘SIS’’) would be due 20 business days after the end of a firm’s FOCUS or FOGS reporting period.14The proposal requires the SIS to befiled by firms that are required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I with inventory positions as of the end of the FOCUS or FOGS reporting period with two exceptions.

  • The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA, or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds.

  • Securities Act Release No. 9408 (June 5,2013), 78 FR 36834, 36835 (June 19, 2013)(Proposed Rule: Money Market Fund Reform; Amendments to Form PF).but also would allow FINRA to focus its resources where the risk is most concerning.The proposed SIS is intended tocapture more details of a firm’s long and short inventory positions than what is captured on the FOCUS Report Part II, FOCUS Report Part IIA and FOGS Report Part I.

  • Amend the Form X–17A–5 Part II (FOCUS Report) (referenced in§ 249.617) by:■ a.

Related to Part II FOCUS Report

  • GLJ Report means the independent engineering reserves evaluation of certain oil, NGL and natural gas interests of the Company prepared by GLJ dated February 11, 2022 and effective December 31, 2021.

  • CMSA Operating Statement Analysis Report means a report substantially in the form of, and containing the information called for in, the downloadable form of the "Operating Statement Analysis Report" available as of the Closing Date on the CMSA Website or in such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CMSA for commercial mortgage-backed securities transactions generally.

  • Operating Statement Analysis Report format substantially in the form of and containing the information called for therein for the Mortgage Loans, or such other form for the presentation of such information as may be approved from time to time by the CREFC® for commercial mortgage securities transactions generally.

  • Progress Report means the report similar in form and content to that attached hereto as Appendix III.

  • CREFC® Operating Statement Analysis Report The monthly report in the “Operating Statement Analysis Report” format substantially in the form of and containing the information called for therein for the Mortgage Loans, or such other form for the presentation of such information as may be approved from time to time by the CREFC® for commercial mortgage securities transactions generally.

  • Status Report has the meaning set forth in Section 4.5.

  • SOS Reports means the official reports from the Secretaries of State of each Collateral State, Chief Executive Office State and the Borrower State and other applicable federal, state or local government offices identifying all current security interests filed in the Collateral and Liens of record as of the date of such report.

  • CREFC® Advance Recovery Report A monthly report substantially in the form of, and containing the information called for in, the downloadable form of the “Advance Recovery Report” available as of the Closing Date on the CREFC® Website, or such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CREFC® for commercial mortgage securities transactions generally.

  • CMSA REO Status Report means a report substantially in the form of, and containing the information called for in, the downloadable form of the "REO Status Report" available as of the Closing Date on the CMSA Website, or in such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CMSA for commercial mortgage securities transactions generally.

  • Sales Report means a report in substantially the form set forth in Exhibit B (Royalty Report Form).

  • Summary report means the year end report containing the summary of a

  • Evaluation Report means a report on the evaluation of tenders prepared under CSO 12

  • Monthly Progress Report Shall have the meaning set forth in Section 13.7 (Monthly Progress Report).

  • CREFC® REO Status Report The report in the “REO Status Report” format substantially in the form of and containing the information called for therein for the Mortgage Loans, or such other form for the presentation of such information as may be approved from time to time by the CREFC® for commercial mortgage securities transactions generally.

  • Payment Date Report has the meaning assigned to such term in Section 8.07(b).

  • Physical Conditions Report means, with respect to the Property, a report prepared by a company satisfactory to Lender regarding the physical condition of the Property, satisfactory in form and substance to Lender in its sole discretion, which report shall, among other things, (a) confirm that the Property and its use complies, in all material respects, with all applicable Legal Requirements (including, without limitation, zoning, subdivision and building laws) and (b) include a copy of a final certificate of occupancy with respect to all Improvements on the Property.

  • Information Package means the most recent compilation of financial and other data with respect to the Failed Bank, including any amendments or supplements thereto, provided to the Assuming Institution by the Corporation on the web site used by the Corporation to market the Failed Bank to potential acquirers.

  • Monthly Report means a report, in substantially the form of Exhibit X hereto (appropriately completed), furnished by the Servicer to the Agent pursuant to Section 8.5.

  • insider report means a statement required to be filed pursuant to Section 16 of the Exchange Act (or any successor provisions), by a person who is a director of the Corporation or who is directly or indirectly the beneficial owner of more than ten percent of the shares of the Corporation.

  • Survey Report means a report of the results of a Survey, containing the information set out in clause 12.4 and Schedule 6.

  • Progress Reports The Progress Reports as required by the individual Task Work Orders issued pursuant to this Agreement. Responsible: Responsible or Responsibility means the financial ability, legal capacity, integrity and past performance of Contractor and as such terms have been interpreted relative to public procurements. See NYS Finance Law § 163(1)(c).

  • REO Status Report format substantially in the form of and containing the information called for therein for the Mortgage Loans, or such other form for the presentation of such information as may be approved from time to time by the CREFC® for commercial mortgage securities transactions generally.