Annual Audit – The due date for annual audits are as follows:
Year-end Date Due Date
August 31, 2008 October 30, 2008
September 30, 2008 December 1, 2008
October 31, 2008 December 30, 2008
November 30, 2008 January 29, 2009
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 by the due date.)
Focus Filings – Focus filing dates for the next three months are as follows:
If you file: Period Due Date
Monthly/Quarterly September October 23, 2008
Monthly October November 25, 2008
Monthly November December 23, 2008
Keep in mind that if your company’s year–end is October 31 or November 30 and you are normally a quarterly FOCUS filer, you have a Fifth FOCUS due on November 25 or December 23 respectively.
Annual Renewals – Important dates in the 2009 Renewal Program:
October 27 Firms may begin submitting post-dated Form U5 and BR
Closing/Withdrawal filings through WebCRD.
November 3 Firm can begin submitting post-date BDW and ADV-W form
through WebCRD/IARD
November 10 Preliminary Renewal statements will be available for viewing
and
printing
December 12 The payment of fees on the Preliminary Renewal Statement is due.
Payments will be transferred from the daily account if complete
funds are available.
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 will be closed on November 27 for Thanksgiving and trading closes at 1pm on November 28 on the NYSE and NASDAQ.
Regulatory Compliance will be closed on November 27 and 28 for Thanksgiving.
Trading on the NYSE and NASDAQ will also close at 1pm on December 24. The Markets and Regulatory Compliance will be closed on December 25 for Christmas.
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