23 Nov FINRA – Issued report filing due dates for 2021 and Q1 2022
November 23, 2020
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.
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.
For more information, visit www.Finra.org