Information Notice - December 20, 2007
2007-2008 Filing Due Dates
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:
For firms filing through eFOCUS:
Questions regarding Short Interest reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Michele Bowan at (240) 386-4986.
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