Annual Audit – The due date for annual audits are as follows:
Year-end Date Due Date
November 30, 2008 January 29, 2009
December 31, 2008 March 2, 2009
January 31, 2009 April 1, 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
Quarterly December 2008 January 27, 2009
Monthly January 2009 February 25, 2009
Monthly February 2009 March 24, 2009
Keep in mind that if your company’s year–end is January 31, 2009 or February 28, 2009 and you are normally a quarterly FOCUS filer, you have a Fifth FOCUS due on February 25 or March 24, respectively.
Schedule 1 Filing – Schedule 1 filings for the period ending December 31, 2008 are due
January 27, 2009.
Annual Renewals – Important dates in the 2009 Renewal Program:
January 2, 2009
CRD/IARD systems reopen at 7am for the submission of filings.
Final renewal statements are available
Overpayment of renewal fees are transferred from the firm’s
Renewal Account to the Daily Account.
February 4, 2009
Final renewal payments are due.
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 January 31, 2009 for the quarter ending December 31, 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 December 31, 2008, these reports must be completed by January 15, 2009.
Holidays –
January 19
The Markets and Regulatory Compliance will be closed on for
Martin Luther King/Civil Rights Day.
February 16
The Markets and Regulatory Compliance will be closed on for
Presidents Day.
3012 Testing & Verification – You are required to test and verify your Supervisory Procedures and present a report to senior management within one year of the anniversary of your previous report. For firm’s that have a due date between now and April 1, 2009, now is the time to start planning for this and to document any testing you have done during 2008.
3013 Certification – The senior business officer of each broker/dealer is required to sign the annual 3013 certification (required language found in IM-3013 or new FINRA Rule 3130) on or before the anniversary of his/her signature of the previous certification.
Back to top
Back to Newsletter
|
