Information Notice 12/1/11

2012 Annual Audit and FOCUS Report Filing Deadlines

Executive Summary

FINRA reminds firms of their obligation to file annual audit and Financial and Operational Combined Uniform Single (FOCUS) reports by the required due dates. All such filings must be received by FINRA by the required due date in order to avoid certain fees as set forth in FINRA’s By-Laws. This Notice lists due dates for 2012.

 

Questions regarding this Notice should be directed to your firm’s Regulatory Coordinator.