REMINDERS
Annual Audit – The due date for annual audits are as follows:
Year-end Date Due Date
June 30, 2008 August 29, 2008
July 31, 2008 September 29, 2008
August 31, 2008 October 30, 2008
Remember - audit reports must be received by FINRA and SEC on or before the due date. (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 July August 25, 2008
Monthly August September 24, 2008
Monthly/Quarterly September October 23, 2008
Keep in mind that if your company’s year–end is July 31 or August 31 and you are normally a quarterly FOCUS filer, you have a Fifth FOCUS due on August 25 or September 24 respectively.
MSRB G37/G38 Filings - If you are a MSRB member and are required to file a G37 or G38 due to reportable Political Contributions, the filing due date is October 31, 2008 for the quarter ending September 30, 2008. Log onto www.msrb.org for more information.
3070 Reporting – If you have customer complaints that require reporting under Rule 3070 for the quarter ending September 30, 2008, these reports must be completed by October 15, 2008.
Holidays – The Markets and Regulatory Compliance will be closed on September 1 for Labor Day.