For Your Information
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting passwords and technical questions concerning system requirements, file uploads, submission problems for Web-Based FOCUS and Customer Complaints can all be directed to (800) 321-NASD. Business questions regarding the Short Interest reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Jocelyn Mello at (240) 386-5091.
Schedule I Filings
| Report Date | Due Date |
| December 31, 2006 | January 26, 2007* |
| Report Date | Due Date |
| December 31, 2007 | January 25, 2008 |
The Schedule I report is required pursuant to SEC Rule 17a-10. Schedule I reports are filed electronically and are due at midnight, Eastern Time (ET) on the due dates noted.
* This date was moved forward by one day due to the National Day of Mourning for President Ford.
2007 Monthly and Fifth FOCUS II/IIA Filings
| Report Date | Due Date |
| January 31, 2007 | February 26, 2007 |
| February 28, 2007 | March 23, 2007 |
| April 30, 2007 | May 23, 2007 |
| May 31, 2007 | June 25, 2007 |
| July 31, 2007 | August 23, 2007 |
| August 31, 2007 | September 26, 2007 |
| October 31, 2007 | November 26, 2007 |
| November 30, 2007 | December 26, 2007 |
A "fifth" FOCUS report is required by SEC Rule 17a-5(a)(2)(iii) for quarterly FOCUS report filers that have a fiscal year end other than a quarter end. Such report is due within 17 business days after the firm's fiscal year end.
2006–2007 Quarterly FOCUS Part II/IIA Filings
| Report Date | Due Date |
| December 31, 2006 | January 26, 2007* |
| March 31, 2007 | April 25, 2007 |
| June 30, 2007 | July 25, 2007 |
| September 30, 2007 | October 23, 2007 |
| December 31, 2007 | January 25, 2008 |
FOCUS reports (monthly, quarterly and fifth) are filed electronically and are due at midnight, ET on the due dates noted.
* This date was moved forward by one day due to the National Day of Mourning for President Ford.
2007 Fiscal Year End Annual Audit Filings Due Dates
| Report Date | Due Date |
| January 31, 2007 | April 2, 2007 |
| February 28, 2007 | April 30, 2007 |
| March 31, 2007 | May 30, 2007 |
| April 30, 2007 | June 29, 2007 |
| May 31, 2007 | July 30, 2007 |
| June 30, 2007 | August 29, 2007 |
| July 31, 2007 | October 1, 2007 |
| August 31, 2007 | October 30, 2007 |
| September 30, 2007 | November 29, 2007 |
| October 31, 2007 | December 31, 2007 |
| November 30, 2007 | January 29, 2008 |
| December 31, 2007 | January 29, 2008 |
Annual Audits are filed in hard copy and must be received by close of business on the dates noted. Annual Audits are due, pursuant to SEC Rule 17a-5(d)(5) no later than 60 calendar days after fiscal year end. Firms that do not use a fiscal year end date coinciding with a month end date should not rely on this schedule in determining due dates.
2006–2007 3070/Customer Complaints Due Dates
| Report Date | Due Date |
| 4th quarter 2006: | January 16, 2007 |
| 1st quarter 2007: | April 16, 2007 |
| 2nd quarter 2007: | July 16, 2007 |
| 3rd quarter 2007: | October 15, 2007 |
| 4th quarter 2007: | January 15, 2008 |
Market Regulation Department 2007 Short Interest Reporting Deadlines
| Trade Date | Settlement Date | Exchange-Listed Short Interest Due* | NASDAQ Short Interest Due* |
| January 9 Tuesday | January 12 Friday | January 17 — 1 p.m. Wednesday | January 17 — 6 p.m. Wednesday |
| February 12 Monday | February 15 Thursday | February 20 — 1 p.m. Tuesday | February 20 — 6 p.m. Tuesday |
| March 12 Monday | March 15 Thursday | March 19 — 1 p.m. Monday | March 19 — 6 p.m. Monday |
| April 10 Tuesday | April 13 Friday | April 17 — 1 p.m. Tuesday | April 17 — 6 p.m. Tuesday |
| May 10 Thursday | May 15 Tuesday | May 17 — 1 p.m. Thursday | May 17 — 6 p.m. Thursday |
| June 12 Tuesday | June 15 Friday | June 19 — 1 p.m. Tuesday | June 19 — 6 p.m. Tuesday |
| July 10 Tuesday | July 13 Friday | July 17 — 1 p.m. Tuesday | July 17 — 6 p.m. Tuesday |
| August 10 Friday | August 15 Wednesday | August 17 — 1 p.m. Friday | August 17 — 6 p.m. Friday |
| September 11 Tuesday | September 14 Friday | September 18 — 1 p.m. Tuesday | September 18 — 6 p.m. Tuesday |
| October 10 Wednesday | October 15 Monday | October 17 — 1 p.m. Wednesday | October 17 — 6 p.m. Wednesday |
| November 9 Friday | November 15 Thursday | November 19 — 1 p.m. Monday | November 19 — 6 p.m. Monday |
| December 11 Tuesday | December 14 Friday | December 18 — 1 p.m. Tuesday | December 18 — 6 p.m. Tuesday |
REPORTS MUST BE FILED BY THE TIMES NOTED, EASTERN TIME.