WebMay 18, 2024 · Pursuant to FINRA Rule 4524, FINRA is proposing to adopt a Supplemental Liquidity Schedule (“SLS”), and Instructions thereto (the “Instructions”). The proposed SLS, which would be filed as a supplement to the FOCUS Report, is tailored to apply only to members with the largest customer and counterparty exposures, as discussed further … WebOn March 19, 2024 the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-08, providing guidance on reporting operating lease assets and liabilities on …
FINRA Proposes Amendments To FOCUS Report Supplemental …
WebJun 3, 2024 · FINRA stated that Schedule 1 to FOCUS Report Part II, as amended by December 2024 reporting requirements, includes "substantially all the information that is … WebForm 1FR-IB (Part A) (Access instructions for completing the Form 1FR-IB (Part A)) Form 1FR-IB (Part B Guarantee Agreement) FOCUS Reports; Use these forms to apply for notice registration as an FCM, IB, or broker-dealer: Form 7-R Notice; Form BD-N Notice; Testing Application. To register to take any of the futures exams, visit FINRA's website. infinite potion effect command
eFOCUS - Financial and Operational Combined Uniform …
WebRegulatory Notice 12-11 announced PER appreciation of FINRA Rule 4524 (Supplemental CENTER Information), which requires each firm, as FINRA shall designate, to save so additional financial or operational course oder reports as FINRA may deem necessary or appropriate forward the protection of financiers press in the public interest as a … WebThis is done via the filing of a FOCUS Report, often submitted electronically using FINRA’s eFOCUS system to maximize security, accuracy, and proper documentation. Usually, … WebJun 9, 2024 · FINRA is proposing to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS. The proposed rule change does not make any other change to the SIS or the instructions thereto. infinite potential wall