SEC FOCUS Report Link

I get asked a fair amount these days questions about Customer Segregation rules, especially in MF Globals demise, and the apparently missing customer funds from what are supposed to be sacrosanct Segregated accounts.

When asked, I often have to go looking for the documents themselves, the actual forms.

I’m adding this post, with a link to those rules and forms, mainly for my own future use. But you all can use them too, dear readers. Yes, both of you.

You’re welcome!

Here is the link:

Click here.

http://ftp.sec.gov/rules/other/nasdaqllcf1a4_5/g_secform.pdf

3 Responses to “SEC FOCUS Report Link”

  1. Matt Antle Says:

    Do you have a link for the populated FOCUS reports, i.e. the one that GS or MS has filled out and submitted to the SEC? (I’m assuming these are publicly available). Thanks!

    • John P. Needham Says:

      The individual firm’s FOCUS reports are not publicly available, at least to my knowledge. But remember, what CFTC is reporting here is not the whole FOCUS report anyway, it is only the FCM-required part of the FOCUS report for Customer Segregated Funds and Customer Secured (30.7) Funds.

  2. A Modest Proposal For A Better Way For Regulators To Track U.S. Futures Customer Segregated Funds « John P. Needham's Blog Says:

    […] Requirements and Funds in Segregation For Customers Trading on U.S. Commodity Exchanges.” I took a look at this report last November. For broker-dealers, the SEC passes along the Statement of Segregated Funds to the CFTC from each […]

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