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98-100 FOCUS Filing Due Dates For 1999

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Senior Management
Legal & Compliance

NASD Regulation, Inc. (NASD RegulationSM) would like to remind members of their obligation to file the appropriate FOCUS reports by their due dates. The following schedule outlines due dates for 1999.

In particular, members are reminded that Schedule I of Form X-17A-5 for the 1998 calendar year must be filed electronically via PC FOCUSSM by Wednesday, January 27, 1999. This due date applies to members regardless of their fiscal year end. Those firms that engage in municipal securities activities must disclose income from such activity under the NASD Miscellaneous Information section of the Schedule I form as it appears in PC FOCUS.

Anyone having difficulty filing FOCUS reports electronically can refer to Appendix A - Error Messages and Appendix B - Troubleshooting in the PC FOCUS User Guide(Version 2.01). In addition, Appendix E - Schedule I Informational Guide contains information on common errors and error resolution for Schedule I specifically.

Questions regarding the information to be filed can be directed to the appropriate District Office. Questions concerning software, hardware, or the transmission of the FOCUS filing can be directed to the NASD toll-free hotline at (800) 321-NASD.

FOCUS Reports Schedule For 1999

Schedule I for 1998 Year End Due Date
1998 FOCUS Schedule I January 27, 1999
Quarterly FOCUS Part II/IIA for 1998
Period Ending Due Date
December 31, 1998 January 27, 1999
Monthly And Fifth* FOCUS II/IIA Filings for 1999
Period Ending Due Date
January 31, 1999 February 24, 1999
February 28,1999 March 23, 1999
April 30, 1999 May 25, 1999
May 31, 1999 June 23, 1999
July 31, 1999 August 24, 1999
August 31, 1999 September 24, 1999
October 31, 1999 November 23, 1999
November 30, 1999 December 23, 1999
Quarterly FOCUS Part II/IIA Filings For 1999
Quarter Ending Due Date
March 31, 1999 April 26, 1999
June 30, 1999 July 26, 1999
September 30, 1999 October 25, 1999
December 31, 1999 January 27, 2000
Schedule I for 1999 Year End Due Due Date
1999 FOCUS Schedule I January 27, 2000

* A Fifth FOCUS report is an additional report that is due from a member whose fiscal year end is a date other than the calendar quarter.

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