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NYSE Arca, Inc. ("NYSE Arca") has contracted with FINRA as its agent to perform certain regulatory responsibilities on behalf of NYSE Arca. All broker dealer ETP and OTP Holders for which NYSE Arca 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 (former NYSE Finance Coordinator).
All NYSE Arca DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and NYSE Arca rule-related questions to their FINRA Finance Coordinator.
FINRA eFocus System
All NYSE Arca DEA broker-dealers must submit their FOCUS Reports (Part IIA and Schedule I) to NYSE Arca 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 page during their examinations, or may ask for a copy to be submitted to FINRA, as needed.
If you experience any problems accessing the system or have technical questions, please contact your FINRA Finance Coordinator.
NYSE Arca Forms
All forms are provided in an Adobe Acrobat (.pdf) format. You must have Adobe® Acrobat® Reader installed on your computer to view and download forms. The forms may be downloaded and submitted to your broker-dealer's Finance Coordinator. Original documents must also be forwarded to the following address:
NYSE Arca, Inc.
c/o FINRA
Attn: (Firm's FINRA Regulatory Coordinator)
20 Broad Street, 21st Floor
New York, NY 10005
Fax: (646) 315-8781
Annual Compliance Acknowledgement Form
The Annual Compliance Acknowledgement Form must be completed and submitted annually with the December 31 FOCUS Report.
Financial Arrangement Disclosure Form
All DEA broker-dealers must disclose financial arrangements using the Financial Arrangement Disclosure Form.
Notice of Equity Withdrawal Form
All DEA broker-dealers must report qualified equity withdrawals using the Notice of Equity Withdrawal Form.
Notice of Material Change in Financial Condition Form
All DEA broker-dealers must report changes in capitalization greater than 5% of total assets using the Notice of Material Change in Financial Condition Form.
Notice Pursuant to SEC Rule 17a-5(f)(2) Form
All DEA broker-dealers must report the existence of an agreement between the broker-dealer and an independent public accountant and/or accounting firm using the Notice Pursuant to SEC Rule 17a-5(f)(2) Form.
Notification of Electronic Storage Media Form
DEA broker-dealers that employ electronic storage media to maintain and preserve records required by the Securities Exchange Act of 1934 Rules 17a-3 and 17a-4 must submit a Notification of Electronic Storage Media Form.
Outside Brokerage Securities Account ID Form
All DEA broker-dealers may use this form to disclose outside brokerage securities accounts for associated persons.
Transfer of Positions Form
Pursuant to NYSE Arca, Inc. Rule 6.78(d)(2), a broker-dealer who intends to transfer certain securities positions from one trading account to another account in a manner other than trading on the floor of a national securities exchange must obtain approval via the submission of Transfer of Positions Form.
Series 27 Requirement
All DEA broker-dealers must submit proof by proctor certification or CRD record that the Firm's Financial/Operations Principals ("FINOP") has successfully completed the Series 27 examination by March 31, 2005. The proof may be submitted via fax at (312) 275-7335. Original documents must also be forwarded to the addresses listed above.
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