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Regulation Filing Applications
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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.
FOCUS Due Dates
Annual Schedule I for 2008 Year End
2008 FOCUS Schedule I |
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Due Date**
January 27, 2009 - 11:59 p.m. ET |
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2008 Monthly and Fifth* FOCUS II/IIA Filings
A Fifth FOCUS report is an additional report that is due from a member whose fiscal year end is a date other than the calendar quarter. Filings are due no later than 11:59 p.m. ET on the due dates noted below.
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| Period Ending |
Due Date** |
| January 31, 2008 |
February 26, 2008** |
| February 29, 2008 |
March 26, 2008** |
| April 30, 2008 |
May 23, 2008** |
| May 31, 2008 |
June 24, 2008** |
| July 31, 2008 |
August 25, 2008** |
| August 31, 2008 |
September 24, 2008** |
| October 31, 2008 |
November 25, 2008** |
| November 30, 2008 |
December 23, 2008** |
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2008 Quarterly FOCUS Part II/IIA Filings
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| Quarter Ending |
Due Date** |
| March 31, 2008 |
April 23, 2008** |
| June 30, 2008 |
July 24, 2008** |
| September 30, 2008 |
October 23, 2008** |
| December 31, 2008 |
January 27, 2009** |
2008 Annual Audit Filings Due Dates
To be a valid filing, the Annual Audit must be physically filed with FINRA/Financial Operations, 5th Floor, 9509 Key West Avenue, Rockville, MD, 20850. The filing must be received by 5:00 p.m. ET on the due date at the FINRA office address noted above. (Please note: Pursuant to Schedule A of the FINRA By-Laws, requests for Extension to the Annual Audit due date must be made in writing 3 business days prior to the due date). Copies of the filing must also be made at these SEC locations.
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| Period End |
Due Date |
| November 30, 2007 |
January 29, 2008 |
| December 31, 2007 |
February 29, 2008 |
| January 31, 2008 |
March 31, 2008 |
| February 29, 2008 |
April 29, 2008 |
| March 31, 2008 |
May 30, 2008 |
| April 30, 2008 |
June 30, 2008 |
| May 31, 2008 |
July 30, 2008 |
| June 30, 2008 |
August 29, 2008 |
| July 31, 2008 |
September 29, 2008 |
| August 31, 2008 |
October 30, 2008 |
| September 30, 2008 |
December 1, 2008 |
| October 31, 2008 |
December 30, 2008 |
| November 30, 2008 |
January 29, 2009 |
| December 31, 2008 |
March 2, 2009 |
View additional Annual Audit information.
2008 3070/Customer Complaints Due Dates
| 1st quarter 2008: |
April 15, 2008 |
| 2nd quarter 2008: |
July 15, 2008 |
| 3rd quarter 2008: |
October 15, 2008 |
| 4th quarter 2008: |
January 15, 2009 |
Market Regulation Department—2008 Short Interest Reporting Deadlines
January 1, 2008–June 13, 2008
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Trade
Date* |
Settlement
Date |
Exchange-Listed
Due Due** |
NASDAQ/OTC Equities
Due Date** |
Media
Date |
Publication
Date |
| January |
1/10/08 |
1/15/08 |
1/17/08 - 1:00 p.m. |
1/17/08 - 6:00 p.m. |
1/25/08 |
1/28/08 |
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1/28/08 |
1/31/08 |
2/04/08 - 1:00 p.m. |
2/04/08 - 6:00 p.m. |
2/11/08 |
2/12/08 |
| February |
2/12/08 |
2/15/08 |
2/20/08 - 1:00 p.m. |
2/20/08 - 6:00 p.m. |
2/27/08 |
2/28/08 |
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2/26/08 |
2/29/08 |
3/04/08 - 1:00 p.m. |
3/04/08 - 6:00 p.m. |
3/11/08 |
3/12/08 |
| March |
3/11/08 |
3/14/08 |
3/18/08 - 1:00 p.m. |
3/18/08 - 6:00 p.m. |
3/26/08 |
3/27/08 |
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3/26/08 |
3/31/08 |
4/02/08 - 1:00 p.m. |
4/02/08 - 6:00 p.m. |
4/09/08 |
4/10/08 |
| April |
4/10/08 |
4/15/08 |
4/17/08 - 1:00 p.m. |
4/17/08 - 6:00 p.m. |
4/24/08 |
4/25/08 |
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4/25/08
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4/30/08
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5/02/08 - 1:00 p.m.
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5/02/08 - 6:00 p.m.
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5/09/08
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5/12/08
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| May |
5/12/08 |
5/15/08 |
5/19/08 - 1:00 p.m. |
5/19/08 - 6:00 p.m. |
5/27/08 |
5/28/08 |
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5/27/08
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5/30/08
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6/03/08 - 1:00 p.m.
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6/03/08 - 6:00 p.m.
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6/10/08
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6/11/08
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June
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6/10/08 |
6/13/08 |
6/17/08 - 1:00 p.m. |
6/17/08 - 6:00 p.m. |
6/24/08 |
6/25/08
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June 30, 2008–December 31, 2008
| Settlement Date |
Due Date** |
Exchange Receipt Date |
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June 30
(Monday)
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July 2 – 6:00 p.m.
(Wednesday) |
July 10
(Thursday) |
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July 15
(Tuesday)
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July 17 – 6:00 p.m.
(Thursday) |
July 24
(Thursday) |
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July 31
(Thursday)
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August 4 – 6:00 p.m.
(Monday) |
August 11
(Monday) |
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August 15
(Friday)
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August 19 – 6:00 p.m.
(Tuesday) |
August 26
(Tuesday) |
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August 29
(Friday)
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September 3 – 6:00 p.m.
(Wednesday) |
September 10
(Wednesday) |
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September 15
(Monday)
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September 17 – 6:00 p.m.
(Wednesday) |
September 24
(Wednesday) |
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September 30
(Tuesday)
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October 2 – 6:00 p.m.
(Thursday) |
October 9
(Thursday) |
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October 15
(Wednesday)
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October 17 – 6:00 p.m.
(Friday) |
October 24
(Friday) |
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October 31
(Friday)
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November 4 – 6:00 p.m.
(Tuesday) |
November 11
(Tuesday) |
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November 14
(Friday)
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November 18 – 6:00 p.m.
(Tuesday) |
November 25
(Tuesday) |
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November 28
(Friday)
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December 2 – 6:00 p.m.
(Tuesday) |
December 9
(Tuesday) |
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December 15
(Monday)
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December 17 – 6:00 p.m.
(Wednesday) |
December 24
(Wednesday) |
December 31
(Wednesday) |
January 5, 2009 – 6:00 p.m.
(Monday) |
January 12, 2009
(Monday) |
* Trade Date is provided for reference purposes only. Positions are to be reported as of settlement date.
** Eastern Time
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