Annual Schedule I Filings
FINRA would like to remind member firms of their obligation to file their Annual Schedule I Filings by its required due date. The following schedule outlines the due date 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 concerning system requirements, file uploads, and submission problems for the Firm Gateway should be directed to (800) 321-6273.
| Annual Schedule I | Due Date** |
| 2009 Annual FOCUS Schedule I | January 27, 2010 - 11:59 p.m. ET |
