Notices

Regulatory Notice 21-05
SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
Thursday, February 18, 2021
Information Notice – 11/11/19
2020 and First Quarter of 2021 Report Filing Due Dates
Thursday, November 07, 2019
Information Notice – 11/16/18
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Friday, November 16, 2018
Regulatory Notice 18-38
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Monday, November 05, 2018
Information Notice – 11/30/17
2018 and First Quarter of 2019 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Thursday, November 30, 2017
Regulatory Notice 17-07
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
Friday, February 10, 2017
Information Notice – 12/5/16
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Monday, December 05, 2016
Regulatory Notice 16-05
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Tuesday, January 26, 2016
Information Notice – 12/14/15
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Monday, December 14, 2015
Information Notice - 12/30/14
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Tuesday, December 30, 2014
Information Notice - 1/8/14
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Wednesday, January 08, 2014
Information Notice - 12/3/12
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
Monday, December 03, 2012
Regulatory Notice 11-46
FINRA to Require Electronic Submission of Annual Audit Reports
Monday, October 03, 2011
Information Notice 12/09/09
Certification of Annual Audits
Wednesday, December 09, 2009
Notice to Members 07-16
Frequently Asked NASD Financial and Operational Questions
Monday, April 09, 2007
Notice to Members 04-35
NASD Reminds Member Firms of Their Obligations to File Certain Financial Reports
Friday, April 30, 2004