30.6k views
2 votes
For a Carrying BD, the FOCUS (Financial and Operational) Combined Uniform Single Report Part I must be filled?

User Krann Sock
by
8.1k points

1 Answer

4 votes

Final answer:

The FOCUS (Financial and Operational) Combined Uniform Single Report Part I is a compliance document required by the SEC for broker-dealers.

Step-by-step explanation:

The FOCUS (Financial and Operational) Combined Uniform Single Report Part I must be filled out for a Carrying BD. This report is a compliance document required by the Securities and Exchange Commission (SEC) for broker-dealers. It includes financial statements, operational information, and other relevant details about the business.

User Valerij
by
8.0k points

No related questions found

Welcome to QAmmunity.org, where you can ask questions and receive answers from other members of our community.