REMINDERS
Annual Audit – The due date for annual audits are as follows:
Year-end Date Due Date
April 30, 2008 June 30, 2008
May 31, 2008 July 30, 2008
June 30, 2008 August 29, 2008
Remember - audit reports must be received by FINRA 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 24, 2008
Monthly/Quarterly June July 24, 2008
Monthly July August 25, 2008
Keep in mind that if your company’s year–end is May 31 or July 31 and you are normally a quarterly FOCUS filer, you have a Fifth FOCUS due on June 24 or August 25 respectively.
MSRB G37/G38 Filings - If you are a MSRB member and are required to file a G37 or G38 due to reportable Political Contributions, the filing due date is July 31, 2008 for the quarter ending June 30, 2008. Log onto www.msrb.org for more information.
3070 Reporting – If you had customer complaints that require reporting under Rule 3070 for the quarter ending June 30, 2008, these reports must be completed by July 15, 2008.
Holidays – The Markets and Regulatory Compliance will be closed on July 4.