ARTICLE
20 November 2019

FINRA Reminds Broker-Dealers Of 2020-2021 Required Filing Deadlines

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
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.
United States Finance and Banking

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.

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More