ARTICLE
15 January 2019

FINRA Updates Supplemental FOCUS Information

CW
Cadwalader, Wickersham & Taft LLP

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Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."
United States Finance and Banking

FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."

The updated SSOI will go into effect beginning with SSOI filings for the period from January 1 to March 31, 2019, which are due to be filed by April 26, 2019.

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