FINRA Publishes 2026–Q1 2027 Financial Reporting Calendar
FINRA provided a 2026 and first-quarter 2027 filing calendar to assist firms in preparing timely submissions for upcoming financial and operational reporting requirements.
The calendar outlines reporting deadlines under SEA Rule 17a-5 ("Reports to be made by certain brokers and dealers") and FINRA Rule 4524 ("Supplemental FOCUS Information"). Covered filings include the Annual Report, FOCUS Reports, Form Custody, and various supplemental schedules such as the Supplemental Statement of Income, Form OBS, the Supplemental Inventory Schedule, and the Supplemental Liquidity Schedule.
FINRA reminded firms that all reports must be filed electronically through FINRA Gateway and highlighted new SEC requirements mandating that broker-dealers submit annual reports to the SEC via EDGAR in PDF format. FINRA encouraged firms to review the calendar to ensure accurate and timely compliance with all 2026 reporting obligations.