FINRA provided upcoming deadlines for firms to file their Annual Report, Financial and Operational Combined Uniform Single ("FOCUS") Reports and other required filings due in 2022 and the first quarter of 2023.
In its Notice, FINRA outlined the due dates which correspond to the period ending dates for each of the required Annual Reports, FOCUS Reports (monthly, quarterly and annually), Form Custody filings, Supplemental Statements of Income ("SSOI"), and other related required filings.
The newly listed deadlines incorporated a February 2021 SEC Order, which granted certain smaller firms an additional 30 days to file their annual reports to meet the requirements of SEA Rule 17a-5(d), including certain FINRA notification requirements as specified in FINRA Regulatory Notice 21-05.
FINRA also reminded firms that forms should be submitted only through FINRA Gateway in electronic format, which simultaneously reports to the Securities Investor Protection Corporation.
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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
