FOCUS Filing Due Dates For 1999
| SUGGESTED ROUTING |
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Senior Management |
NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines due dates for 1999.
In particular, members are reminded that Schedule I of Form X-17A-5 for the 1998 calendar year must be filed electronically via PC FOCUSSM by Wednesday, January 27, 1999. This due date applies to members regardless of their fiscal year end. Those firms that engage in municipal securities activities must disclose income from such activity under the NASD Miscellaneous Information section of the Schedule I form as it appears in PC FOCUS.
Anyone having difficulty filing FOCUS reports electronically can refer to Appendix A - Error Messages and Appendix B - Troubleshooting in the PC FOCUS User Guide(Version 2.01). In addition, Appendix E - Schedule I Informational Guide contains information on common errors and error resolution for Schedule I specifically.
Questions regarding the information to be filed can be directed to the appropriate District Office. Questions concerning software, hardware, or the transmission of the FOCUS filing can be directed to the NASD toll-free hotline at (800) 321-NASD.
FOCUS Reports Schedule For 1999
| Schedule I for 1998 Year End | Due Date |
| 1998 FOCUS Schedule I | January 27, 1999 |
| Quarterly FOCUS Part II/IIA for 1998 | |
| Period Ending | Due Date |
| December 31, 1998 | January 27, 1999 |
| Monthly And Fifth* FOCUS II/IIA Filings for 1999 | |
| Period Ending | Due Date |
| January 31, 1999 | February 24, 1999 |
| February 28,1999 | March 23, 1999 |
| April 30, 1999 | May 25, 1999 |
| May 31, 1999 | June 23, 1999 |
| July 31, 1999 | August 24, 1999 |
| August 31, 1999 | September 24, 1999 |
| October 31, 1999 | November 23, 1999 |
| November 30, 1999 | December 23, 1999 |
| Quarterly FOCUS Part II/IIA Filings For 1999 | |
| Quarter Ending | Due Date |
| March 31, 1999 | April 26, 1999 |
| June 30, 1999 | July 26, 1999 |
| September 30, 1999 | October 25, 1999 |
| December 31, 1999 | January 27, 2000 |
| Schedule I for 1999 Year End Due | Due Date |
| 1999 FOCUS Schedule I | January 27, 2000 |