FINRA reminded broker-dealers of upcoming due dates in 2020 and the first quarter of 2021, pursuant to Exchange Act Rule 17a-5 or FINRA Rule 4524.

In an Information Notice, FINRA listed the deadlines for the following required filings:

  • Annual Audit Reports;
  • Financial and Operational Combined Uniform Single ("FOCUS") Reports;
  • Form Custody;
  • Supplemental Statement of Income (or "SSOI");
  • Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (or "Form OBS");
  • Supplemental Inventory Schedule (or "SIS"); and
  • the FINRA Gateway and Entitlements.

FINRA also noted that the submissions must be made electronically through FINRA's Firm Gateway.

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