For Your Information
2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. 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, and 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.
2004 FOCUS Due Dates
| Annual Schedule I for 2003 Year End | Due Date |
| 2003 FOCUS Schedule I | January 27, 2004 |
| Annual Schedule I for 2004 Year End | Due Date |
| 2004 FOCUS Schedule I | January 26, 2005 |
2004 Monthly and Fifth* FOCUS II/IIA Filings
* 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.
| January 31, 2004 | February 25, 2004 |
| February 29, 2004 | March 23, 2004 |
| April 30, 2004 | May 25, 2004 |
| May 31, 2004 | June 23, 2004 |
| July 31, 2004 | August 24, 2004 |
| August 31, 2004 | September 24, 2004 |
| October 31, 2004 | November 23, 2004 |
| November 30, 2004 | December 23, 2004 |
2004 Quarterly FOCUS Part II/IIA Filings
| Quarter Ending | Due Date |
| December 31, 2003 | January 27, 2004 |
| March 31, 2004 | April 26, 2004 |
| June 30, 2004 | July 26, 2004 |
| September 30, 2004 | October 25, 2004 | December 31, 2004 | January 26, 2005 |
2004 Annual Audit Filings Due Dates
| Period End | Due Date |
| December 31, 2003 | February 29, 2004 |
| January 31, 2004 | March 31, 2004 |
| February 29, 2004 | April 29, 2004 |
| March 31, 2004 | June 1, 2004 |
| April 30, 2004 | June 29, 2004 |
| May 31, 2004 | July 30, 2004 |
| June 30, 2004 | August 30, 2004 |
| July 31, 2004 | September 29, 2004 |
| August 31, 2004 | November 1, 2004 |
| September 30, 2004 | November 29, 2004 |
| October 31, 2004 | December 30, 2004 |
| November 30, 2004 | January 31, 2005 |
| December 31, 2004 | March 1, 2005 |
2004 3070/Customer Complaints Due Dates
| 4th quarter 2003: | January 15, 2004 |
| 1st quarter 2004: | April 15, 2004 |
| 2nd quarter 2004: | July 15, 2004 |
| 3rd quarter 2004: | October 15, 2004 |
| 4th quarter 2004: | January 17, 2005 |
Market Regulation Department 2004 Short Interest Reporting Deadlines
| Trade Date | Settlement Date | Exchange-Listed Short Interest Due* | NASDAQ Short Interest Due* |
| January 12 Monday |
January 15 Thursday |
January 20 1:00 p.m., Tuesday |
January 20 6:00 p.m., Tuesday |
| February 10 Tuesday |
February 13 Friday |
February 18 1:00 p.m., Wednesday |
February 18 6:00 p.m., Wednesday |
| March 10 Wednesday |
March 15 Monday |
March 17 1:00 p.m., Wednesday |
March 17 6:00 p.m., Wednesday |
| April 12 Monday |
April 15 Thursday |
April 19 1:00 p.m., Monday |
April 19 6:00 p.m., Monday |
| May 11 Tuesday |
May 14 Friday |
May 18 1:00 p.m., Tuesday |
May 18 6:00 p.m., Tuesday |
| June 10 Thursday |
June 15 Tuesday |
June 17 1:00 p.m., Thursday |
June 17 6:00 p.m., Thursday |
| July 12 Monday |
July 15 Thursday |
July 19 1:00 p.m., Monday |
July 19 6:00 p.m., Monday |
| August 10 Tuesday |
August 13 Friday |
August 17 1:00 p.m., Tuesday |
August 17 6:00 p.m., Tuesday |
| September 10 Friday |
September 15 Wednesday |
September 17 1:00 p.m., Friday |
September 17 6:00 p.m., Friday |
| October 12 Tuesday |
October 15 Friday |
October 19 1:00 p.m., Tuesday |
October 19 6:00 p.m., Tuesday |
| November 9 Tuesday |
November 15 Monday |
November 17 1:00 p.m., Wednesday |
November 17 6:00 p.m., Wednesday |
| December 10 Friday |
December 15 Wednesday |
December 17 1:00 p.m., Friday |
December 17 6:00 p.m., Friday |
* Eastern Standard Time