Information Notice - December 20, 2007

2007-2008 Filing Due Dates

Executive Summary

Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.

The due dates for FOCUS reports, Schedule I filings, Customer Complaints and Short Interest reports are also combined and listed in chronological order in Attachment A.

For firms filing through WebFOCUS:

  • Questions regarding the information to be filed should be directed to your firm's Liaison.
  • Technical questions, including how to file a FOCUS report, resetting passwords and system requirements, file uploads, submission problems for Web-based FOCUS and Customer Complaints should be directed to FINRA's Call Center at (800) 321-6273.

For firms filing through eFOCUS:

  • Questions regarding the information to be filed should be directed to your firm's Finance Coordinator.
  • Technical questions, including how to file a FOCUS report, resetting passwords and system requirements, file uploads, submission problems for eFOCUS and Customer Complaints should be directed to the SIAC Service Center at (212) 383-2062.

Questions regarding Short Interest reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Michele Bowan at (240) 386-4986.