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FINRA Sets 2023/2024 Financial Reporting Deadlines

FINRA reminded firms of the deadlines to submit broker dealer reports required under SEA Rule 17a-5 ("Reports to be made by certain brokers and dealers") and Financial and Operational Combined Uniform Single ("FOCUS") information under FINRA Rule 4524 ("Supplemental FOCUS Information") due in 2023 or the first quarter of 2024.

The notice provides a chart of deadline and extension dates for (i) annual reports, (ii) FOCUS information, (iii) custody form information and (iv) any supplemental FOCUS Report filings. FINRA said that all filings must be made electronically through FINRA Gateway.

Primary Sources

  1. FINRA Information Notice: 2023 and First Quarter of 2024 Report Filing Due Dates

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Tags

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