FINRA – Issued report filing due dates for 2021 and Q1 2022

November 23, 2020

Reports Covered

Annual report, FOCUS report, form custody, a supplemental statement of income, schedule for derivatives, and other off-balance sheets; supplemental inventory schedule. A reminder that all filings submitted to be made electronically through FINRA Gateway.

Security-Based Swaps

SEC adopted changes to FOCUS requirements with regard to security-based swaps. Prior to the implementation of changes, guidance will be provided through FINRA Gateway.

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