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FINRA Provides Filing Dates for Annual Audit Reports

FINRA reminded firms of their Annual Audit, Financial and Operational Combined Uniform Single ("FOCUS"), Form Custody and supplemental FOCUS Report filling obligations. The notice provides dates on which filings will be due in 2016 and in the first quarter of 2017.

Primary Sources

  1. FINRA Information Notice

Tags

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