Series 99: 2.3.3.1.1 Financial And Operational Combined Uniform Single (FOCUS) Report

Taken from our Series 99 Top-off Online Guide

2.3.3.1.1 Financial and Operational Combined Uniform Single (FOCUS) Report

Under SEC Rule 17a-5, most broker-dealers are required to file an audited Financial and Operational Combined Uniform Single (FOCUS) report annually with the SEC. The main purpose of the FOCUS report is to state the financial condition of the firm. The report must include a computation of net capital.

Parts of the FOCUS report must be filed either monthly or quarterly. In addition to filing with the SEC, FINRA members also must file FOCUS re

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For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

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Eric Cunningham PNC Pittsburgh, PA

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