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.

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

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.

Examples of FOCUS Report in a sentence

• 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).

• Upon executing and returning this Agreement to SLK, Broker shall also provide SLK with a copy of its most recent FOCUS Report, its Form BD 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).

• Each Company FOCUS Report complied (and with respect to Company FOCUS Reports filed after the date hereof, will comply) at the date thereof with the rules and regulations of the SEC relating thereto and fairly presented (or will present, as the case may be) the information required to be presented therein pursuant to Rule 17a-5 under the Exchange Act.

• Each Acquiror FOCUS Report complied (and with respect to Acquiror FOCUS Reports filed after the date hereof, will comply) at the date thereof with the rules and regulations of the SEC relating thereto and fairly presented (or will present, as the case may be) the information required to be presented therein pursuant to Rule 17a-5 under the Exchange Act.

• To the best of the Company's knowledge and belief, it has no contingent obligations, or unusual forward or long term commitments not disclosed by or reserved against in said balance sheet as of September 30, 1995, or in said FOCUS Report dated September 30, 1995, and, to the best of the Company's knowledge and belief, at the present time there are no unrealized or anticipated losses from any unfavorable commitments of the Company which have not been disclosed to the Lender.

More Definitions of FOCUS Report

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.

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

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

FOCUS Report has the meaning ascribed to such term in Section 7.01(a).

FOCUS Report means the Financial and Operational Combined Uniform Single Report (Form X-17a-5) required to be filed with the SEC or a national securities exchange, or any report that is required in lieu of such report.