Monthly and Fifth* FOCUS II/IIA Filings

FINRA would like to remind member firms of their obligation to file their Monthly and Fifth FOCUS 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. Also, view the FOCUS filing submission guidance for additional help in completing the FOCUS form. 

 

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.


2009 Monthly and Fifth* FOCUS II/IIA Filings
A Fifth FOCUS report is an additional report that is due from a member whose fiscal year end is a date other than the calendar quarter. Filings are due no later than 11:59 p.m. ET on the due dates noted below.
Period Ending Due Date**
January 31, 2009 February 25, 2009**
February 28, 2009 March 24, 2009**
April 30, 2009 May 26, 2009**
May 31, 2009 June 23, 2009**
July 31, 2009 August 25, 2009**
August 31, 2009 September 24, 2009**
October 31, 2009 November 24, 2009**
November 30, 2009 December 23, 2009**


* Trade Date is provided for reference purposes only. Positions are to be reported as of settlement date.
** Eastern Time

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