For Your Information
2005–2006 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 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.
2006 FOCUS Due Dates
| Annual Schedule I for 2005 Year End | Due Date |
| 2005 FOCUS Schedule I | January 25, 2006 |
| Annual Schedule I for 2006 Year End | Due Date |
| 2005 FOCUS Schedule I | January 25, 2007 |
2006 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, 2006 | February 24, 2006 |
| February 28, 2006 | March 23, 2006 |
| April 30, 2006 | May 23, 2006 |
| May 31, 2006 | June 23, 2006 |
| July 31, 2006 | August 23, 2006 |
| August 31, 2006 | September 26, 2006 |
| October 31, 2006 | November 24, 2006 |
| November 30, 2006 | December 26, 2006 |
2006 Quarterly FOCUS Part II/IIA Filings
| Quarter Ending | Due Date |
| December 31, 2005 | January 26, 2006 |
| March 31, 2006 | April 26, 2006 |
| June 30, 2006 | July 26, 2006 |
| September 30, 2006 | October 24, 2006 |
| December 31, 2006 | January 25, 2007 |
2006 Annual Audit Filings Due Dates
| Period End | Due Date |
| January 31, 2006 | April 3, 2006 |
| February 28, 2006 | May 1, 2006 |
| March 31, 2006 | May 30, 2006 |
| April 30, 2006 | June 29, 2006 |
| May 31, 2006 | July 31, 2006 |
| June 30, 2006 | August 29, 2006 |
| July 31, 2006 | September 29, 2006 |
| August 31, 2006 | October 30, 2006 |
| September 30, 2006 | November 29, 2006 |
| October 31, 2006 | January 2, 2007 |
| November 30, 2006 | January 30, 2007 |
| December 31, 2006 | March 1, 2007 |
2006 3070/Customer Complaints Due Dates
| 4th quarter 2005: | January 17, 2006 |
| 1st quarter 2006: | April 17, 2006 |
| 2nd quarter 2006: | July 17, 2006 |
| 3rd quarter 2006: | October 16, 2006 |
| 4th quarter 2006: | January 16, 2007 |
Market Regulation Department 2006 Short Interest Reporting Deadlines
| Trade Date* | Settlement Date | Exchange-Listed Short Interest Due** | NASDAQ Short Interest Due** |
| January 10 Tuesday |
January 13 Friday |
January 18 — 1:00pm Wednesday |
January 18 — 6:00pm Wednesday |
| February 10 Friday |
February 15 Wednesday |
February 17 — 1:00pm Friday |
February 17 — 6:00pm Friday |
| March 10 Friday |
March 15 Wednesday |
March 17 — 1:00 p.m. Friday |
March 17 — 6:00 p.m. Friday |
| April 10 Monday |
April 13 Thursday |
April 18 — 1:00 p.m. Tuesday |
April 18 — 6:00 p.m. Tuesday |
| May 10 Wednesday |
May 15 Monday |
May 17 — 1:00 p.m. Wednesday |
May 17 — 6:00 p.m. Wednesday |
| June 12 Monday |
June 15 Thursday |
June 19 — 1:00 p.m. Monday |
June 19 — 6:00 p.m. Monday |
| July 11 Tuesday |
July 14 Friday |
July 18 — 1:00 p.m. Tuesday |
July 18 — 6:00 p.m. Tuesday |
| August 10 Thursday |
August 15 Tuesday |
August 17 — 1:00 p.m. Thursday |
August 17 — 6:00 p.m. Thursday |
| September 12 Tuesday |
September 15 Friday |
September 19 — 1:00 p.m. Tuesday |
September 19 — 6:00 p.m. Tuesday |
| October 10 Tuesday |
October 13 Friday |
October 17 — 1:00 p.m. Tuesday |
October 17 — 6:00 p.m. Tuesday |
| November 9 Thursday |
November 15 Wednesday |
November 17 — 1:00 p.m. Friday |
November 17 — 6:00 p.m. Friday |
| December 12 Tuesday |
December 15 Friday |
December 19 — 1:00 p.m. Tuesday |
December 19 — 6:00 p.m. Tuesday |
* Trade Date is provided for reference purposes only. Positions are to be reported as of settlement date.
** Eastern Standard Time