NYSE MKT Broker/Dealer Financial and Operational Compliance

NYSE MKT ("the Exchange") has contracted with FINRA as its agent to perform certain regulatory responsibilities. All broker dealers for which NYSE MKT is the Designated Examining Authority (DEA) must direct all financial and operational compliance notices, reports, including FOCUS Reports (submitted via the FINRA eFOCUS system) and updates to organizational documents to their FINRA Finance Coordinator.

All NYSE MKT DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and NYSE MKT rule-related questions to their FINRA Finance Coordinator.

FINRA eFocus System
All NYSE MKT DEA broker-dealers must submit their focus reports (Part 11A and Schedule I) to NYSE MKT via FINRA's eFocus system, which can be accessed through the Electronic Filing Platform. Refer to NYSE Regulation Information Memo 07-25 (Web-based transmission of Focus Data) for further information. Firms are reminded to maintain each manually signed Focus report filed at its place of business. FINRA staff may request to review the signed cover pages during their examinations, or may ask for a copy to be submitted to FINRA as needed.

If you experience any problems accessing your system or have technical questions, please contact your FINRA Finance Coordinator.

Requests for Extensions
Requests for extensions must be received in writing on or prior to the due date and should include the reason for the request. Requests should be directed to the attention of Robert J. Devine at robert.devine@finra.com.