Information Notice - 12/30/14

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)

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 FINRA’s By-Laws and to avoid suspension of FINRA membership. This Notice provides the due dates for filings that are due in 2015 or in the first quarter of 2016. 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.