REMINDERS

Annual Audit – If your firm’s year –end is September 30th your year end audit is coming up. Be sure you have contacted your auditor to schedule his/her visit and have your engagement letter for 2006. Remember your audit report must be received by the NASD and SEC on or before 11/29/06.  (Note – Don’t forget to send a report to any states in which you are registered that require filing before their due date.)

Annual renewals – The preliminary reports on annual renewals will be available November 6, 2006 and firm’s can begin submitting post-dated U5s on October 23. Now is the time to start thinking about the registration of your firm and reps in preparation for renewals.

Focus Filings – Focus filing dates for the next three months are as follows:

If you file:                                     Period                               Due Date

Monthly or Quarterly                      September                         October 24, 2006

Monthly                                        October                             November 24, 2006

Monthly                                        November                           December 26, 2006

3070 Filing Deadline – 3070 filings for the third quarter of 2006 are due on or before October 16, 2006.

Contact Review and Update -  You are required to review, update (if applicable) and certify your contact information on the NASD’s Contact System quarterly. The due date for this review for the third quarter 2006 is October 24, 2006.

MSRB G37/G38 Filings -  If you are a MSRB member and are required to make a G-37 or G-38 filing to report Political Contributions, the filing due date is October 1. Log onto www.msrb.org for more information.

MSRB Contacts – If you are MSRB member you are required to review your G-40 contact information quarterly. This review is done electronically through www.msrb.org and you must either update information or indicate no update is needed on or before October 24, 2006 for the 3rd quarter of 2006.

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