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FOCUS Expansion Poses Headaches: Group

August 31, 2010
Compliance Reporter

Financial Services Partners Holly H. Smith and Susan S. Krawczyk were mentioned for the letter to FINRA they authored on the behalf of the Committee of Annuity Insurers. The letter addressed FINRA's proposed plan to have firms supplement their Financial and Operational Combined Uniform Single (FOCUS) reports. In the letter, the attorneys "said the supplement is essentially a new financial report and its account groupings are incompatible with FOCUS. Complying would force firms to come up with and maintain two financial reporting systems."

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