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NYSE Arca Regulation

Member Firm Financial & Operational Compliance

NYSE Arca has contracted with FINRA as its agent to perform certain regulatory responsibilities. All broker dealer Equities Trading Permit Holders and Options Trading Permit 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. 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 Regulatory Forms

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