FINRA Reminds Firms of 2015 and First Quarter of 2016 Report Filing Due Dates

FINRA issued an Information Notice to remind firms of their Annual Audit, Financial and Operational Combined Uniform Single ("FOCUS"), Form Custody, and supplemental FOCUS Report filing obligations.

According to the Information Notice, all such filings must be received by FINRA by their required due dates to avoid specified fees as set forth in FINRA's by-laws and to avoid suspension of FINRA membership. All filings submitted to FINRA must be made electronically though FINRA's Firm Gateway.

See: Information Notice.