Information Notice – 11/30/17

2018 and First Quarter of 2019 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

Summary

FINRA reminds firms of their Annual Audit, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filing obligations. This Notice provides the due dates for filings that are due in 2018 or in the first quarter of 2019. All filings submitted to FINRA must be made electronically though FINRA’s Firm Gateway.

The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524. These due dates take into account the federal holiday calendar as appropriate.

All filings must be received by FINRA by their required due dates to avoid specified fees as set forth in Schedule A to FINRA’s By-Laws and to avoid suspension of FINRA membership.

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