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NYSE Amex has contracted with FINRA to perform certain regulatory responsibilities for NYSE Amex Options. All NYSE Amex member organizations 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.
Member organizations may direct questions regarding FOCUS reports, financial disclosure filings, broker-dealer examinations, and Amex Options rule-related questions to their FINRA Finance Coordinator.
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