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2006—2007 Filing Due Dates

NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. 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, 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.

Schedule I Filings

Report Date Due Date
December 31, 2006 January 26, 2007*
Report Date Due Date
December 31, 2007 January 25, 2008

The Schedule I report is required pursuant to SEC Rule 17a-10. Schedule I reports are filed electronically and are due at midnight, Eastern Time (ET) on the due dates noted.

* This date was moved forward by one day due to the National Day of Mourning for President Ford.

2007 Monthly and Fifth FOCUS II/IIA Filings

Report Date Due Date
January 31, 2007 February 26, 2007
February 28, 2007 March 23, 2007
April 30, 2007 May 23, 2007
May 31, 2007 June 25, 2007
July 31, 2007 August 23, 2007
August 31, 2007 September 26, 2007
October 31, 2007 November 26, 2007
November 30, 2007 December 26, 2007

A "fifth" FOCUS report is required by SEC Rule 17a-5(a)(2)(iii) for quarterly FOCUS report filers that have a fiscal year end other than a quarter end. Such report is due within 17 business days after the firm's fiscal year end.

2006–2007 Quarterly FOCUS Part II/IIA Filings

Report Date Due Date
December 31, 2006 January 26, 2007*
March 31, 2007 April 25, 2007
June 30, 2007 July 25, 2007
September 30, 2007 October 23, 2007
December 31, 2007 January 25, 2008

FOCUS reports (monthly, quarterly and fifth) are filed electronically and are due at midnight, ET on the due dates noted.

* This date was moved forward by one day due to the National Day of Mourning for President Ford.

2007 Fiscal Year End Annual Audit Filings Due Dates

Report Date Due Date
January 31, 2007 April 2, 2007
February 28, 2007 April 30, 2007
March 31, 2007 May 30, 2007
April 30, 2007 June 29, 2007
May 31, 2007 July 30, 2007
June 30, 2007 August 29, 2007
July 31, 2007 October 1, 2007
August 31, 2007 October 30, 2007
September 30, 2007 November 29, 2007
October 31, 2007 December 31, 2007
November 30, 2007 January 29, 2008
December 31, 2007 January 29, 2008

Annual Audits are filed in hard copy and must be received by close of business on the dates noted. Annual Audits are due, pursuant to SEC Rule 17a-5(d)(5) no later than 60 calendar days after fiscal year end. Firms that do not use a fiscal year end date coinciding with a month end date should not rely on this schedule in determining due dates.

2006–2007 3070/Customer Complaints Due Dates

Report Date Due Date
4th quarter 2006: January 16, 2007
1st quarter 2007: April 16, 2007
2nd quarter 2007: July 16, 2007
3rd quarter 2007: October 15, 2007
4th quarter 2007: January 15, 2008

Market Regulation Department 2007 Short Interest Reporting Deadlines

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

REPORTS MUST BE FILED BY THE TIMES NOTED, EASTERN TIME.


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