Financial Services: FINRA Issues Filing Deadlines for Broker-Dealer Annual Audit, FOCUS Reports
1/09/2012
The Financial Industry Regulatory Authority (“FINRA”) has issued its “2012 Annual Audit and FOCUS Report Filing Deadlines” information notice, which details the deadlines by which broker-dealers must file their annual audit and Financial and Operational Combined Uniform Single (“FOCUS”) reports.
FINRA filings are electronic. Additionally, the Securities and Exchange Commission requires that hard copies be received by the same deadlines listed in the notice. The full notice can be accessed here.
For further information, please contact Jay Levy, CPA, partner and co-director of J.H. Cohn’s Financial Services Industry Practice, at jlevy@jhcohn.com or 646-254-7412; Philip Mandel, CPA, CFP, partner and co-director of J.H. Cohn’s Financial Services Industry Practice, at pmandel@jhcohn.com or 973-403-7986; or your J.H. Cohn engagement partner at 877-704-3500.
This has been prepared for information purposes and general guidance only and does not constitute professional advice. You should not act upon the information contained in this publication without obtaining specific professional advice. No representation or warranty (express or implied) is made as to the accuracy or completeness of the information contained in this publication, and J.H. Cohn LLP, its members, employees and agents accept no liability, and disclaim all responsibility, for the consequences of you or anyone else acting, or refraining to act, in reliance on the information contained in this publication or for any decision based on it.