Annual Audit – If your firm’s year –end is December 31st your audit report must be received by the NASD and SEC on or before 3/1/07.  (Note – Don’t forget to send a report to any states in which you are registered that require filing before their due date.)

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

If you file:                                     Period                               Due Date

Monthly                                      February                          March 23, 2007

Monthly or Quarterly                    March                                April 25, 2007

3070 Filing Deadline – The 3070 filings for the first quarter of 2007 are due on or before April 16, 2007.

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 first quarter of 2007 is April 25, 2007.

MSRB G37/G38 Filings -  If you are a MSRB member and have reportable and are required to file a G37 or G38 to report Political Contributions, the filing due date is April 30 for the quarter ending March 31, 2007. 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 April 25, 2007 for the 1st quarter of 2007.

OATS Clocks – Daylight Savings begins early this year. Clocks should be set ahead one hour at 2:00am on March 11, 2007.