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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.
