A financial and operational report that stock exchanges are required to submit to the Securities & Exchange Commission (SEC).
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Sep 12, 2006 ... of a Financial and Operational Combined Uniform Single Report (“FOCUS Report”). 12. During all relevant times, the Firm's FOCUS Report and ...
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... Commission by filing a materially inaccurate 1992 Financial and Operational Combined Uniform Single Report ("FOCUS Report"); by failing to make and keep ...
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The NASD found that First Colorado filed an inaccurate Financial and Operational Combined Uniform Single Report ("FOCUS Report") for the period ending ...
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Dec 8, 1995 ... The NYSE also found that Schneider filed an inaccurate Financial and Operational Combined Uniform Single Report ("FOCUS Report") in ...
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Apr 26, 1996... found that LSI, acting through Litwin: (a) filed an inaccurate Financial and Operational Combined Uniform Single Report ("FOCUS Report"), ...