For Your Information
2004 2005 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaints, and Short Interest Reports by their due dates. The following schedule outlines due dates for 2005. 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 Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Jocelyn Mello at (240) 386-5091.
2005 FOCUS Due Dates
| Annual Schedule I for 2004 Year End | Due Date |
| 2004 FOCUS Schedule | January 26, 2005 |
| Annual Schedule I for 2005 Year End | Due Date |
| 2005 FOCUS Schedule | January 25, 2006 |
2005 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, 2005 | February 24, 2005 |
| February 28, 2005 | March 23, 2005 |
| April 30, 2005 | May 24, 2005 |
| May 31, 2005 | June 23, 2005 |
| July 31, 2005 | August 23, 2005 |
| August 31, 2005 | September 26, 2005 |
| October 31, 2005 | November 23, 2005 |
| November 30, 2005 | December 23, 2005 |
2005 Quarterly FOCUS Part II/IIA Filings
| Quarter Ending | Due Date |
| December 31, 2004 | January 26, 2005 |
| March 31, 2005 | April 25, 2005 |
| June 30, 2005 | July 26, 2005 |
| September 30, 2005 | October 25, 2005 | December 31, 2005 | January 25, 2006 |
2005 Annual Audit Filings Due Dates
| Period End | Due Date |
| January 31, 2005 | April 1, 2005 |
| February 28, 2005 | April 29, 2005 |
| March 31, 2005 | May 31, 2005 |
| April 30, 2005 | June 29, 2005 |
| May 31, 2005 | August 1, 2005 |
| June 30, 2005 | August 29, 2005 |
| July 31, 2005 | September 29, 2005 |
| August 31, 2005 | October 31, 2005 |
| September 30, 2005 | November 29, 2005 |
| October 31, 2005 | December 30, 2005 |
| November 31, 2005 | January 30, 2006 |
| December 31, 2005 | March 1, 2006 |
2005 3070/Customer Complaints Due Dates
| 4th quarter 2004: | January 18, 2005 |
| 1st quarter 2005: | April 15, 2005 |
| 2nd quarter 2005: | July 15, 2005 |
| 3rd quarter 2005: | October 17, 2005 |
| 4th quarter 2005: | January 17, 2006 |
Market Regulation Department 2005 Short Interest Reporting Deadlines
| Trade Date* | Settlement Date | Exchange-Listed Short Interest Due** | NASDAQ Short Interest Due** |
| January 11 Tuesday |
January 14 Friday |
January 19 - 1:00 p.m. Wednesday |
January 19 - 6:00 p.m. Wednesday |
| February 10 Thursday |
February 15 Tuesday |
February 17 - 1:00 p.m. Thursday |
February 17 - 6:00 p.m. Thursday |
| March 10 Thursday |
March 15 Tuesday |
March 17 - 1:00 p.m. Thursday |
March 17 - 6:00 p.m. Thursday |
| April 12 Tuesday |
April 15 Friday |
April 19 - 1:00 p.m. Tuesday |
April 19 - 6:00 p.m. Tuesday |
| May 10 Tuesday |
May 13 Friday |
May 17 - 1:00 p.m. Tuesday |
May 17 - 6:00 p.m. Tuesday |
| June 10 Friday |
June 15 Wednesday |
June 17 - 1:00 p.m. Friday |
June 17 - 6:00 p.m. Friday |
| July 12 Tuesday |
July 15 Friday |
July 19 - 1:00 p.m. Tuesday |
July 19 - 6:00 p.m. Tuesday |
| August 10 Wednesday |
August 15 Monday |
August 17 - 1:00 p.m. Wednesday |
August 17 - 6:00 p.m. Wednesday |
| September 12 Monday |
September 15 Thursday |
September 19 - 1:00 p.m. Monday |
September 19 - 6:00 p.m. Monday |
| October 11 Tuesday |
October 14 Friday |
October 18 - 1:00 p.m. Tuesday |
October 18 - 6:00 p.m. Tuesday |
| November 9 Wednesday |
November 15 Tuesday |
November 17 - 1:00 p.m. Thursday |
November 17 - 6:00 p.m. Thursday |
| December 12 Monday |
December 15 Thursday |
December 19 - 1:00 p.m. Monday |
December 19 - 6:00 p.m. Monday |
* Trade Date is provided for reference purposes only. Positions are to be reported as of settlement date.
** Eastern Standard Time