Broker-Dealer Calendar

FINRA Regulatory Form Filing Requirements

Use our Google Calendar with FOCUS Filing, Form Custody, SSOI, OBS, SIS schedule and filing dates to help manage brokerage compliance & regulatory requirements. Sort the calendar by month, specific dates, or change the layout and select Agenda for a list style view.

Click on any calendar item to see the information underneath containing links and information like:

  • Form Reporting Requirements; FOCUS Part II & IIA, Fifth Focus Filing, Annual Audit Report, Annual Schedule I Filings, SSOI – Supplemental Statement of Income, OBS – Off-Balance Sheet Items & Derivatives Schedule, SIS Supplemental Inventory Schedule
  • Links to eFOCUS system for submitting Forms
  • Links to Rule information, FAQ pages, Example Forms, and relevant details
  • Find out where to file forms and when to file forms for FINRA regulations

There’s no need to have a Google account to use, download, or  view this calendar.  It’s easy to import into Outlook or ICal and add alerts or adjustments to fit your firms needs. Share the calendar! Send the link to colleagues, or accounting and compliance team members so everyone has it at their fingertips.  (*updated Jan 12 2017)

View the Calendar and use on your own computer

Import the Calendar to use with Outlook and other calendar programs

The FINRA Regulatory Filing Deadlines Calendar is intended as a help tool for clients of RND Resources and Compliance professionals needing quick answers and links to relevant details. Individual brokerage firm filing needs vary, and this calendar should not be considered a final list of tasks due.  Please consult your compliance officer for Form Filing Requirements and compliance tasks that may not appear here.

Feel free to email or call us with any questions or suggest items you would like to see added to the calendar.

Phone us at (818) 657-0288

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See FINRA Information Notice December 5 2016 for more information.