Information Notice – 12/5/16

2017 and First Quarter of 2018 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)

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.

Executive Summary

FINRA reminds firms of their Annual Audit, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filing obligations. All such 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. This Notice provides the due dates for filings that are due in 2017 or in the first quarter of 2018. All filings submitted to FINRA must be made electronically though FINRA’s Firm Gateway.

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