For Your Information (December)
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. reminds member firms of their obligation to file the appropriate Web-Based FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by the specified due dates. The following schedules outline due dates for 2002. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file reports, 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 Rena at (240) 386-5091.
Web-Base FOCUS Due Dates
Monthly And Fifth FOCUS
| Period Ending | Due Date |
| January 31, 2002 | February 26, 2002 |
| February 28, 2002 | March 25, 2002 |
| April 30, 2002 | May 23, 2002 |
| May 31, 2002 | June 25, 2002 |
| July 31, 2002 | August 23, 2002 |
| August 31, 2002 | September 25, 2002 |
| October 31, 2002 | November 25, 2002 |
| November 30, 2002 | December 24, 2002 |
Quarterly FOCUS Part II/IIA
| Quarter Ending | Due Date |
| December 31, 2001 | January 25, 2002 |
| March 31, 2002 | April 23, 2002 |
| June 30, 2002 | July 24, 2002 |
| September 30, 2002 | October 23, 2002 |
| December 31, 2002 | January 27, 2003 |
Annual Schedule I Due Date
| 2001 Annual FOCUS Schedule I | January 25, 2002 |
| 2002 Annual FOCUS Schedule I | January 27, 2003 |
2002 Annual Audit Filings Due Dates
| Period End | Due Date |
| January 31, 2002 | April 1, 2002 |
| February 28, 2002 | April 29, 2002 |
| March 31, 2002 | May 30, 2002 |
| April 30, 2002 | June 29, 2002 |
| May 31, 2002 | July 30, 2002 |
| June 30, 2002 | August 29, 2002 |
| July 31, 2002 | September 29, 2002 |
| August 31, 2002 | October 30, 2002 |
| September 30, 2002 | November 29, 2002 |
| October 31, 2002 | December 30, 2002 |
| November 30, 2002 | January 29, 2002 |
| December 31, 2002 | March 1, 2003 |
2002 Customer Complaints/3070 Due Dates
| 4th quarter 2001: | 1/15/02 (Tuesday) |
| 1st quarter 2002: | 4/15/02 (Monday) |
| 2nd quarter 2002: | 7/15/02 (Monday) |
| 3rd quarter 2002: | 10/15/02 (Tuesday) |
| 4th quarter 2002: | 1/15/03 (Wednesday) |
2002 Short Interest Reporting Deadlines
| Trade Date | Settlement Date | Exchange-Listed Short Interest Due* | Nasdaq Short Interest Due* |
| January 10 Thursday |
January 15 Tuesday |
January 17 1:00 p.m. Thursday |
January 17 6:00 p.m. Thursday |
| February 12 Tuesday |
February 15 Friday |
February 20 1:00 p.m. Wednesday |
February 20 6:00 p.m. Wednesday |
| March 12 Tuesday |
March 15 Friday |
March 19 1:00 p.m. Tuesday |
March 19 6:00 p.m. Tuesday |
| April 10 Wednesday |
April 15 Monday |
April 17 1:00 p.m. Wednesday |
April 17 6:00 p.m. Wednesday |
| May 10 Friday |
May 15 Wednesday |
May 17 1:00 p.m. Friday |
May 17 6:00 p.m. Friday |
| June 11 Tuesday |
June 14 Friday |
June 18 1:00 p.m. Tuesday |
June 18 6:00 p.m. Tuesday |
| July 10 Wednesday |
July 15 Monday |
July 17 1:00 p.m. Wednesday |
July 17 6:00 p.m. Wednesday |
| August 12 Monday |
August 15 Thursday |
August 19 1:00 p.m. Monday |
August 19 6:00 p.m. Monday |
| September 10 Tuesday |
September 13 Friday |
September 17 1:00 p.m. Tuesday |
September 17 6:00 p.m. Tuesday |
| October 9 Wednesday |
October 15 Tuesday |
October 17 1:00 p.m. Thursday |
October 17 6:00 p.m. Thursday |
| November 12 Tuesday |
November 15 Friday |
November 19 1:00 p.m. Tuesday |
November 19 6:00 p.m. Tuesday |
| December 10 Tuesday |
December 13 Friday |
December 17 1:00 p.m. Tuesday |
December 17 6:00 p.m. Tuesday |
*Eastern Standard Time