View Whole SectionText only Print Print Manager Link
Previous Next

For Your Information

View PDF file

2003 - 2004 Filing Due Dates

NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting passwords, and technical questions concerning system requirements, file uploads, and 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 Mello at (240) 386-5091.

2004 FOCUS Due Dates

Annual Schedule I for 2003 Year End Due Date
2003 FOCUS Schedule I January 27, 2004
Annual Schedule I for 2004 Year End Due Date
2004 FOCUS Schedule I January 26, 2005

2004 Monthly and Fifth* FOCUS II/IIA Filings

* 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.

January 31, 2004 February 25, 2004
February 29, 2004 March 23, 2004
April 30, 2004 May 25, 2004
May 31, 2004 June 23, 2004
July 31, 2004 August 24, 2004
August 31, 2004 September 24, 2004
October 31, 2004 November 23, 2004
November 30, 2004 December 23, 2004

2004 Quarterly FOCUS Part II/IIA Filings

Quarter Ending Due Date
December 31, 2003 January 27, 2004
March 31, 2004 April 26, 2004
June 30, 2004 July 26, 2004
September 30, 2004 October 25, 2004
December 31, 2004 January 26, 2005

2004 Annual Audit Filings Due Dates

Period End Due Date
December 31, 2003 February 29, 2004
January 31, 2004 March 31, 2004
February 29, 2004 April 29, 2004
March 31, 2004 June 1, 2004
April 30, 2004 June 29, 2004
May 31, 2004 July 30, 2004
June 30, 2004 August 30, 2004
July 31, 2004 September 29, 2004
August 31, 2004 November 1, 2004
September 30, 2004 November 29, 2004
October 31, 2004 December 30, 2004
November 30, 2004 January 31, 2005
December 31, 2004 March 1, 2005

2004 3070/Customer Complaints Due Dates

4th quarter 2003: January 15, 2004
1st quarter 2004: April 15, 2004
2nd quarter 2004: July 15, 2004
3rd quarter 2004: October 15, 2004
4th quarter 2004: January 17, 2005

Market Regulation Department 2004 Short Interest Reporting Deadlines

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

* Eastern Standard Time


Previous Next