(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)

The U.S. Securities and Exchange Commission (SEC) has published FOCUS REPORT FORM X-17A-5 SCHEDULE I which will be valid through November 30, 2026 unless otherwise modified before following the approval of the Office of Management and Budget (OMB).
Form X-17A-5 SCHEDULE is a regulatory filing requested by the SEC on an annual basis by registered broker-dealers under the Securities Exchange Act of 1934. It must be filed within 17 days after the end of the third quarter; certain filers are required to submit the form within 17 business days after the close of the calendar year (please see the filing instructions for more details).
Among other things, the form schedule collects general information on a broker-dealer, such as the type of activities it is engaged in, its registration status (e.g. registered as an insurance company, as an exchange participant, etc.), its contact data, number of employees, effected exchange transactions in the past reporting year, and various other information.