Quarterly FOCUS Part II/IIA Filings
FINRA would like to remind member firms of their obligation to file their Quarterly FOCUS Report(s) by their required due dates. The following schedule outlines due dates for 2009. 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 Quarterly FOCUS Part II/IIA Filings |
|
| Quarter Ending | Due Date** |
| December 31, 2008 | January 27, 2009** |
| March 31, 2009 | April 24, 2009** |
| June 30, 2009 | July 24, 2009** |
| September 30, 2009 | October 23, 2009** |
| December 31, 2009 | January 27, 2010** |
** Eastern Time
