Annual Reporting Updates Part I (Duration: 34 Minutes)

Join FINRA staff to review year-end annual reporting requirements. Subject matter experts will cover audit extension policies and guide you through implementing the SEC's new electronic filing rule.

FINRA Speakers:

• Anthony Vinci, Senior Director, OFORP
• Ann Duguid, Senior Director, OFORP
• Karne Avellino, Senior Principal Analyst, Risk Monitoring Resources

Resources:

Information Notice 11/14/25: SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
eFOCUS - Financial and Operational Combined Uniform Single Reports
Information Notice 11/10/25: 2026 and First Quarter of 2027 Report Filing Due Dates