The following periodic filing reminders are available. Only the filing deadlines that fall within the next 90 days reminder list.
FilingDescriptionFiling Deadlines InfoFiling Reminder Available Until:
2711 CertificationFiling deadline for the submission of the 2711 Certification
  • Filings must be submitted by April 1st every year.
  • For the reporting requirements go to the 2711 Rule
 The filing deadline has passed.
3012Yearly reminder based on the date of the last filing. Only present for firms that have requested Supervisory Control exceptions previously and have not filed for a "Ceasing To Rely" status.
  • Filings must be submitted no later than the anniversary of the previous year's notification.
  • For the reporting requirements go to the 3012 Rule
The firm has filed either a renewal or a Ceasing to Rely.
4530 Disclosure and Complaints – Rule 4530(a,b,d) Filing deadline for firms that have received reportable customer complaints during the previous quarter.
  • Filings must be submitted by the 15th day of the month following the calendar quarter in which customer complaints are received.
  • For a list of this year's published deadlines go to Filing Deadlines
  • For the reporting requirements go to the FINRA Rule 4530
 The filing deadline has passed.
REX (Reg-T & 15c3-3) Filing deadline for firms that have filed a Reg T or 15c3-3 extension request during the last period.
  • Filings must be submitted no more than five business days following the end of the preceding calendar month
  • For the reporting requirements go to the 3160 Rule
The filing has been submitted or the next filing period has ended.
FOCUS Filing deadlines for Part II, Part IIA, and Schedule I FOCUS reports.
  • Filings must be submitted 17 business days after the month or quarter end for monthly and quarterly filings. Schedule I have to be filed 17 business days after year end.
  • For a list of this year's published deadlines go to Filing Deadlines
  • For the reporting requirements go to NTM 04-35.
 The filing has been submitted.
Short Interest Filing deadlines for reporting short interest positions in Nasdaq, OTC equity and/or exchange-listed securities to FINRA.
NOTE: This reminder is available only for firms that filed Short Interest during the previous period.
  • Reports shall be received no later than the second business day after the reporting settlement date designated by FINRA.
  • For a list of this year's published deadlines go to Filing Deadlines
  • For the reporting requirements, refer to Rule 3360.
 The filing deadline has passed.
FINRA Contacts Firm key contact information validation deadline
  • Contacts must be verified 17 business days after the end of the calendar year.
 The firm contacts have been validated or the next filing period has begun.
On Site Exam Information Requests Requests for needed firm information sent by an examiner prior to an on site exam. Three types of information requests may be sent to the firm: Information Request, Records Request, and Business Types & Activities
  • Must be submitted before the deadline established on the On Site Exam information request notification email
The firm has submitted the requested information.
Annual Audit Annual Audit filing deadlines for receipts of Annual Audited report.
  • Filings must be submitted 60 calendar days after the date selected for fiscal year end.
  • For a list of this year's published deadlines go to Filing Deadlines.
The filing due date has passed or the filing is more than 10 business days overdue.