X

FINRA Sets Report Filing Due Dates

FINRA provided the due dates for Annual Report, FOCUS Report, Form Custody and supplemental FOCUS Report filings that are due in 2025 and the first quarter of 2026.

The Notice provides due dates only for filings required under SEA Rule 17a-5 ("Reports to be made by certain brokers and dealers") or FINRA Rule 4524 ("Supplemental FOCUS Information"). FINRA reminded members that all such filings they submit to FINRA must be made electronically through FINRA Gateway. 

Primary Sources

  1. FINRA: Information Notice: 2025 and First Quarter of 2026 Report Filing Due Dates

Premium Content

Available only to Premium subscribers.

 

Join Premium

US Regulatory Intelligence combines regulatory and enforcement news, analysis, and practical work tools on an easy-to-use digital platform.

Request a Free Trial

Tags

Regulated Activities
Financial Recordkeeping & Reporting
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA