FINRA reminded broker-dealers of upcoming due dates in 2020 and the first quarter of 2021, pursuant to Exchange Act Rule 17a-5 or FINRA Rule 4524.
In an Information Notice, FINRA listed the deadlines for the following required filings:
- Annual Audit Reports;
- Financial and Operational Combined Uniform Single ("FOCUS") Reports;
- Form Custody;
- Supplemental Statement of Income (or "SSOI");
- Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (or "Form OBS");
- Supplemental Inventory Schedule (or "SIS"); and
- the FINRA Gateway and Entitlements.
FINRA also noted that the submissions must be made electronically through FINRA's Firm Gateway.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.