Form FOCUSN filings contain non-public annual audit reports filed by brokers or dealers pursuant to Rule 17a-5 under the Securities Exchange Act of 1934. These reports correspond to the non-public portion of Form X-17A-5 Part III and include financial statements and supplemental information for which confidential treatment has been requested. The dataset includes all Form FOCUSN and Form FOCUSN/A filings submitted to EDGAR from July 2002 to present. Form FOCUSN/A filings represent amendments to previously filed non-public annual audit reports. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains audited financial statements, a net capital computation, details on the broker-dealer's reserve requirements, and supplemental schedules covering proprietary accounts, customer accounts, and other financial and operational data not designated for public disclosure.
Programmatically retrieve the full list of dataset archive files, download URLs and dataset metadata.
Dataset Index JSON API
Download the entire dataset as a single archive file.
Download Entire Dataset:
Download a single container file (e.g. monthly archive) from the dataset.
Download Single Container: