Filing Due Dates

FINRA reminds firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. Questions regarding the information to be filed can be directed to the appropriate District Office.
 
Questions regarding how to file FOCUS reports and reset passwords, and technical questions concerning system requirements, file uploads, submission problems and customer complaints, should be directed to FINRA Support Center at (800) 321-6273.

Business questions regarding short interest reporting deadlines should be directed to Yvonne Huber at (240) 386-5034, Jocelyn Mello-Gibbon at (240) 386-5091 or Lauren Zito at (240) 386-5432. 

• 2019 Annual Audit / FOCUS / Form Custody / SSOI / OBS / SIS Report Filing Due Dates 
• 4530/Customer Complaint Quarterly Reporting Due Dates
• Short Interest Reporting Due Dates
• Customer Margin Balance Due Dates