FINRA reminded firms of due dates for required filings that are due in 2018 and the first quarter of 2019, pursuant to Exchange Act Rule 17a-5 or FINRA Rule 4524.
In an Information Notice, FINRA included the due dates for the following required filings:
- Annual Audit Reports;
- FOCUS Reports;
- Form Custody;
- Supplemental Statement of Income;
- Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items;
- Supplemental Inventory Schedule; and
- FINRA Gateway and Entitlements.
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