Regulatory Alerts2023-11-01 | Information Notice 11/1/23Added · Updated
2024 and First Quarter of 2025 Report Filing Due Dates
FINRA establishes the electronic filing due dates for Annual Reports, FOCUS Reports, Form Custody, and supplemental schedules (SSOI, OBS, SIS, SLS) for the period covering 2024 and the first quarter of 2025. The notice specifies that filings must be submitted via FINRA Gateway by 11:59 p.m. ET on the listed dates, with specific thresholds applying to Form OBS, SIS, and SLS obligations. It also notes a 30-day extension option for Annual Reports for qualifying smaller firms under SEC order conditions.
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