| Filing | Description | Filing Deadlines Info | Filing Reminder Available Until: |
| 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
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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
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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.
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The filing has been submitted.
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| 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.
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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.
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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
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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.
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The filing due date has passed or the filing is more than 10 business days overdue. |