2008 Filing Due Dates

FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.

 

Questions regarding how to file FOCUS reports and reset passwords, and technical questions concerning system requirements, file uploads, submission problems for Web-based FOCUS and customer complaints should be directed to (800) 321-6273. Business questions regarding the Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Michele Bowan at (240) 386-4986.

 

 

• Annual Audit Filings Due Dates 
• Monthly and Fifth* FOCUS II/IIA Filings
• Quarterly FOCUS Part II/IIA Filings 
• Annual Schedule I Filings
• 3070/Customer Complaints Due Dates
• Short Interest Reporting Due Dates