Series 99: 2.3.3.1.1 Financial And Operational Combined Uniform Single (FOCUS) Report

Taken from our Series 99 Top-off Online Guide

2.3.3.1.1 Financial and Operational Combined Uniform Single (FOCUS) Report

Under SEC Rule 17a-5, most broker-dealers are required to file an audited Financial and Operational Combined Uniform Single (FOCUS) report annually with the SEC. The main purpose of the FOCUS report is to state the financial condition of the firm. The report must include a computation of net capital.

Parts of the FOCUS report must be filed either monthly or quarterly. In addition to filing with the SEC, FINRA members also must file FOCUS re

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.3.3.1.1 Financial And Operational Combined Uniform Single (FOCUS) Report, you might also be interested in:

Series 50 - Asset-Backed Securities

Series 53 - Chapter 5 Practice Questions

Series 65 - 6.2.1 ERISA (Employee Retirement Income Security Act)

Series 66 - Averaging Returns

Series 51 - Exercise

Series 50 - Solicitors

Series 27 - SEC Risk Assessment Reports

Series 63 - Exercise

Series 24 - Underwriting Agreement (UA)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL

I used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

K. Nick Thoeni, Gilroy, CA

Passed that bad boy (Series 79) weeks ago with an 86, kicked its ass. I hate leaving that much room, means I wasted time. Thanks for everything.

Jeff S., Upper Nyack, NY