FINRA 2013 Annual Audit, FOCUS and SSOI Report Filing Deadlines

FINRA has reminded firms of their obligation to file their annual audits, FOCUS (net capital) reports, and Supplemental Statement of Income Reports by the required due dates. This Notice lists due dates in 2013 for each of the specified types of reports.

Cross-Reference(s): NASD Rule 3170 [Mandatory Electronic Filing Requirements]; FINRA Rule 4524 [Supplemental FOCUS Information]; Exchange Act Rule 17a-5 [Reports to Be Made by Certain Brokers and Dealers].

View Notice in full here (links externally to FINRA website).