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NYSE American Regulation

Member Firm Financial & Operational Compliance

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

FINRA eFocus System

All NYSE American DEA broker-dealers must submit their focus reports (Part 11A and Schedule I) to NYSE American 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.
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