REMINDERS
Annual Audit – The due date for annual audits are as follows:
Year-end Date Due Date
April 30, 2007 June 29, 2007
May 31, 2007 July 30, 2007
June 30, 2007 August 29, 2007
Remember - audit report must be received by the NASD and SEC on or before the due date. (Note – Don’t forget to send a report to any states in which you are registered that require filing before their due date.)
Focus Filings – Focus filing dates for the next three months are as follows:
If you file: Period Due Date
Monthly May June 25, 2007
Monthly/Quarterly June July 25, 2007
Keep in mind that if your company’s year –end is May 31 and you are normally a quarterly FOCUS filer, you have a Fifth FOCUS due on June 25, 2007 also.
Contact Review and Update - You are required to review, update (if applicable) and certify your contact information on the NASD’s Contact System Quarterly. The due date for this review for the second quarter of 2007 is July 25, 2007.
MSRB G37/G38 Filings - If you are a MSRB member and have reportable and are required to file a G37 or G38 to report Political Contributions, the filing due date is July 31 for the quarter ending June 30, 2007. Log onto www.msrb.org for more information.
MSRB Contacts – If you are MSRB member you are required to review your G-40 contact information quarterly. This review is done electronically through www.msrb.org and you must either update information or indicate no update is needed on or before July 25, 2007 for the 2nd quarter of 2007.
3070 Reporting – If you had customer complaints that require reporting under NASD Rule 3070 due the quarter ending June 30, 2007, these reports must be completed by July 17, 2007.
Holidays – The Markets and Regulatory Compliance will be closed on July 4.