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For Your Information (December)

For Your Information

Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting

NASD Regulation, Inc. reminds member firms of their obligation to file the appropriate Web-Based FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by the specified due dates. The following schedules outline due dates for 2002. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file reports, resetting passwords, and technical questions concerning system requirements, file uploads, submission problems for Web-Based FOCUS and Customer Complaints can all be directed to (800) 321-NASD. Business questions regarding the Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Jocelyn Rena at (240) 386-5091.

Web-Base FOCUS Due Dates

Monthly And Fifth FOCUS

Period Ending Due Date
January 31, 2002 February 26, 2002
February 28, 2002 March 25, 2002
April 30, 2002 May 23, 2002
May 31, 2002 June 25, 2002
July 31, 2002 August 23, 2002
August 31, 2002 September 25, 2002
October 31, 2002 November 25, 2002
November 30, 2002 December 24, 2002

Quarterly FOCUS Part II/IIA

Quarter Ending Due Date
December 31, 2001 January 25, 2002
March 31, 2002 April 23, 2002
June 30, 2002 July 24, 2002
September 30, 2002 October 23, 2002
December 31, 2002 January 27, 2003

Annual Schedule I Due Date

2001 Annual FOCUS Schedule I January 25, 2002
2002 Annual FOCUS Schedule I January 27, 2003

2002 Annual Audit Filings Due Dates

Period End Due Date
January 31, 2002 April 1, 2002
February 28, 2002 April 29, 2002
March 31, 2002 May 30, 2002
April 30, 2002 June 29, 2002
May 31, 2002 July 30, 2002
June 30, 2002 August 29, 2002
July 31, 2002 September 29, 2002
August 31, 2002 October 30, 2002
September 30, 2002 November 29, 2002
October 31, 2002 December 30, 2002
November 30, 2002 January 29, 2002
December 31, 2002 March 1, 2003

2002 Customer Complaints/3070 Due Dates

4th quarter 2001: 1/15/02 (Tuesday)
1st quarter 2002: 4/15/02 (Monday)
2nd quarter 2002: 7/15/02 (Monday)
3rd quarter 2002: 10/15/02 (Tuesday)
4th quarter 2002: 1/15/03 (Wednesday)

2002 Short Interest Reporting Deadlines

Trade Date Settlement Date Exchange-Listed Short Interest Due* Nasdaq Short Interest Due*
January 10
Thursday
January 15
Tuesday
January 17
1:00 p.m.
Thursday
January 17
6:00 p.m.
Thursday
February 12
Tuesday
February 15
Friday
February 20
1:00 p.m.
Wednesday
February 20
6:00 p.m.
Wednesday
March 12
Tuesday
March 15
Friday
March 19
1:00 p.m.
Tuesday
March 19
6:00 p.m.
Tuesday
April 10
Wednesday
April 15
Monday
April 17
1:00 p.m.
Wednesday
April 17
6:00 p.m.
Wednesday
May 10
Friday
May 15
Wednesday
May 17
1:00 p.m.
Friday
May 17
6:00 p.m.
Friday
June 11
Tuesday
June 14
Friday
June 18
1:00 p.m.
Tuesday
June 18
6:00 p.m.
Tuesday
July 10
Wednesday
July 15
Monday
July 17
1:00 p.m.
Wednesday
July 17
6:00 p.m.
Wednesday
August 12
Monday
August 15
Thursday
August 19
1:00 p.m.
Monday
August 19
6:00 p.m.
Monday
September 10
Tuesday
September 13
Friday
September 17
1:00 p.m.
Tuesday
September 17
6:00 p.m.
Tuesday
October 9
Wednesday
October 15
Tuesday
October 17
1:00 p.m.
Thursday
October 17
6:00 p.m.
Thursday
November 12
Tuesday
November 15
Friday
November 19
1:00 p.m.
Tuesday
November 19
6:00 p.m.
Tuesday
December 10
Tuesday
December 13
Friday
December 17
1:00 p.m.
Tuesday
December 17
6:00 p.m.
Tuesday

*Eastern Standard Time


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