Transcription of 2018 and First Quarter of 2019 12 InfIormatriaNc - …
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2018 and First Quarter of 2019 12 InfIormatriaNc - …
Information Notice112 InfIormatriaNc2018 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)SummaryFINRA reminds firms of their Annual Audit, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filing obligations. This Notice provides the due dates for filings that are due in 2018 or in the First Quarter of 2019 . All filings submitted to FINRA must be made electronically though FINRA s Firm due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524. These due dates take into account the federal holiday calendar as filings must be received by FINRA by their required due dates to avoid specified fees as set forth in Schedule A to FINRA s By-Laws and to avoid suspension of FINRA regarding this Notice should be directed to your firm s Regulatory Routing00 Compliance00 Legal00 Operations00 Regulatory Reporting00 Senior ManagementKey Topic(s)00 Annual Audit Report Filings00 FOCUS Report Filings00 Form Custody Filings00 Supplemental Inventory Schedule00 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items 00
Information Notice 3 354ff FOCUS Reports Firms must submit their FOCUS Reports electronically through the eFOCUS System available via the FINRA Firm Gateway.
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