Disclosure Events and Complaints Due Dates
FINRA would like to remind member firms of their obligation to file their Disclosure Events and Complaints 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.
Questions concerning system requirements, file uploads, and submission problems for the Firm Gateway should be directed to (800) 321-6273.
2009 Disclosure Events And Customer Complaints Due Dates
| 1st quarter 2009: | April 15, 2009 |
| 2nd quarter 2009: | July 15, 2009 |
| 3rd quarter 2009: | October 15, 2009 |
| 4th quarter 2009: | January 15, 2010 |
