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NYSE Amex ("the Exchange") has contracted with FINRA as its agent to perform certain regulatory responsibilities. All broker dealers for which NYSE Amex 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 Amex DEA broker-dealers may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations and NYSE Amex rule-related questions to their 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.
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