For Your Information (December)
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. 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 & 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 2001 Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Jocelyn Rena at (240) 386-5091.
2001 FOCUS Due Dates
| Annual Schedule I for 2000 Year End | Due Date |
| 2000 FOCUS Schedule I | January 25, 2001 |
| Annual Schedule I for 2001 Year End | Due Date |
| 2001 FOCUS Schedule I | January 25, 2002 |
| Quarterly FOCUS Part II/IIA for 2000 | |
| Period Ending | Due Date |
| December 31, 2000 | January 25, 2001 |
Monthly And Fifth FOCUS II/IIA Filings For 2001
A Fifth FOCUS report is an additional report that is due from a member whose fiscal year end is a date other than the calendar quarter.
| Period Ending | Due Date |
| January 31, 2001 | February 26, 2001 |
| February 28, 2001 | March 23, 2001 |
| April 30, 2001 | May 23, 2001 |
| May 31, 2001 | June 25, 2001 |
| July 31, 2001 | August 23, 2001 |
| August 31, 2001 | September 26, 2001 |
| October 31, 2001 | November 26, 2001 |
| November 30, 2001 | December 26, 2001 |
Quarterly FOCUS Part II/IIA Filings For 2001
| Quarter Ending | Due Date |
| March 31, 2001 | April 25, 2001 |
| June 30, 2001 | July 25, 2001 |
| September 30, 2001 | October 23, 2001 |
| December 31, 2001 | January 25, 2002 |
| 2001 Annual Audit Filings Due Dates | 2001 Customer Complaint Due Dates | |
| Period End | Due Date | |
| January 31, 2001 | April 1, 2001 | January 16, 2001 (January 15th is Martin Luther King Day) |
| February 28, 2001 | April 29, 2001 | April 16, 2001 |
| March 31, 2001 | May 30, 2001 | July 16, 2001 |
| April 30, 2001 | June 29, 2001 | October 15, 2001 |
| May 31, 2001 | July 30, 2001 | |
| June 30, 2001 | August 29, 2001 | |
| July 31, 2001 | September 29, 2001 | |
| August 31, 2001 | October 30, 2001 | |
| September 30, 2001 | November 29, 2001 | |
| October 31, 2001 | December 30, 2001 | |
| November 30, 2001 | January 29, 2002 | |
| December 31, 2001 | March 1, 2002 | |
Market Regulation Department—2001 Short Interest Reporting Deadlines
| Trade Date | Settlement Date | Exchange-Listed Short Interest Due* | Nasdaq Short Interest Due* | ||
| Tues. January 9 | Fri. January 12 | Wed. January 17 | 1:00 p.m. | Wed. January 17 | 6:00 p.m. |
| Mon. February 12 | Thurs. February 15 | Tues. February 20 | 1:00 p.m. | Tues. February 20 | 6:00 p.m. |
| Mon. March 12 | Thurs. March 15 | Mon. March 19 | 1:00 p.m. | Mon. March 19 | 6:00 p.m. |
| Mon. April 9 | Thurs. April 12 | Tues. April 17 | 1:00 p.m. | Tues. April 17 | 6:00 p.m. |
| Thurs. May 10 | Tues. May 15 | Thurs. May 17 | 1:00 p.m. | Thurs. May 17 | 6:00 p.m. |
| Tues. June 12 | Fri. June 15 | Tues. June 19 | 1:00 p.m. | Tues. June 19 | 6:00 p.m. |
| Tues. July 10 | Fri. July 13 | Tues. July 17 | 1:00 p.m. | Tues. July 17 | 6:00 p.m. |
| Fri. August 10 | Wed. August 15 | Fri. August 17 | 1:00 p.m. | Fri. August 17 | 6:00 p.m. |
| Tues. September11 | Fri. September 14 | Tues. September 18 | 1:00 p.m. | Tues. September 18 | 6:00 p.m. |
| Wed. October 10 | Mon. October 15 | Wed. October 17 | 1:00 p.m. | Wed. October 17 | 6:00 p.m. |
| Mon. November 12 | Thurs. November 15 | Mon. November 19 | 1:00 p.m. | Mon. November 19 | 6:00 p.m. |
| Tues. December 11 | Fri. December 14 | Tues. December 18 | 1:00 p.m. | Tues. December 18 | 6:00 p.m. |
*Eastern Standard Time
Correction To Notice to Members 00-73
On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.