Information Notice 1/8/14

2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates

Executive Summary

FINRA reminds firms of their obligation to file Annual Audit, Financial and Operational Combined Uniform Single (FOCUS) Reports, Form Custody and FINRA required supplemental FOCUS Report information. All filings must be received by FINRA by their required due dates in order to avoid certain fees as set forth in FINRA’s By-Laws and/or to avoid suspension of a firm’s FINRA membership. This Notice provides the due dates for filings that firms must make in 2014.

 

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