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

Since you're reading about Series 99: 2.3.3.1.1 Financial And Operational Combined Uniform Single (FOCUS) Report, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!