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.
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
For the avoidance of doubt, Net Capital Percentage shall be updated on the last day of each fiscal quarter of SNC in which a FOCUS Report is completed by SNC and filed with the SEC.
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 a Financial and Operational Combined Uniform Single Report of ZSC required to be filed with the SEC or the NASD or any report which 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 means each duly completed and executed SEC Form X-17A-5 submitted to the SEC.