FOCUS Filing Due Dates

FINRA reminds firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates.

2015 Focus Filing Dates

Monthly and Fifth FOCUS Part II/IIA Filings

 

Period Ending

December 31, 2014

January 31, 2015

February 28, 2015

April 30, 2015

May 31, 2015

July 31, 2015

August 31, 2015

October 31, 2015

November 30, 2015

Due Date

January 27, 2015

February 25, 2015

March 24, 2015

May 26, 2015

June 23, 2015

August 25, 2015

September 24, 2015

November 24, 2015

December 23, 2015

Quarterly FOCUS Part II/IIA Filings

 

Period Ending

December 31, 2014
March 31, 2015
June 30, 2015
September 30, 2015
December 31, 2015

Due Date

January 27, 2015
April 24, 2015
July 24, 2015
October 23, 2015
January 27, 2016

Annual Schedule I Filings

 

Period Ending

2014
2015

Due Date

January 27, 2015
January 27, 2016