Annual Audit Filing Due Dates
FINRA would like to remind member firms of their obligation to file their annual audited financial reports by their required due dates. The following schedule outlines due dates for 2008. All regulatory filings/reports must be received by the scheduled due date in order to be deemed "received" by FINRA. Questions regarding the information to be filed can be directed to the appropriate District Office.
To be a valid filing, the Annual Audit must be physically filed with FINRA/Financial Operations, 5th Floor, 9509 Key West Avenue, Rockville, MD, 20850. The filing must be received by the due date at the previously referenced FINRA Office address to be considered adequately "received" and filed. (Please note: Pursuant to Schedule A of the FINRA By-Laws, requests for Extension to the Annual Audit due date must be made in writing 3 business days prior to the due date). Copies of the filing must also be made with the SEC at the Headquarters and Regional Offices.
Questions regarding how to file FOCUS reports and reset passwords, and technical questions concerning system requirements, file uploads, and submission problems for the Firm Gateway should be directed to (800) 321-6273.
| Period End | Due Date |
| November 30, 2008 | January 29, 2009 |
| December 31, 2008 | March 2, 2009 |
| January 31, 2009 | April 1, 2009 |
| February 28, 2009 | April 29, 2009 |
| March 31, 2009 | June 1, 2009 |
| April 30, 2009 | June 29, 2009 |
| May 31, 2009 | July 30, 2009 |
| June 30, 2009 | August 31, 2009 |
| July 31, 2009 | September 29, 2009 |
| August 31, 2009 | October 30, 2009 |
| September 30, 2009 | November 30, 2009 |
| October 31, 2009 | December 30, 2009 |
| November 30, 2009 | January 29, 2010 |
| December 31, 2009 | March 1, 2010 |
View additional Annual Audit information.
