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2005–2006 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 2005. 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 & 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.

2006 FOCUS Due Dates

Annual Schedule I for 2005 Year End Due Date
2005 FOCUS Schedule I January 25, 2006

Annual Schedule I for 2006 Year End Due Date
2005 FOCUS Schedule I January 25, 2007

2006 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, 2006 February 24, 2006
February 28, 2006 March 23, 2006
April 30, 2006 May 23, 2006
May 31, 2006 June 23, 2006
July 31, 2006 August 23, 2006
August 31, 2006 September 26, 2006
October 31, 2006 November 24, 2006
November 30, 2006 December 26, 2006

2006 Quarterly FOCUS Part II/IIA Filings

Quarter Ending Due Date
December 31, 2005 January 26, 2006
March 31, 2006 April 26, 2006
June 30, 2006 July 26, 2006
September 30, 2006 October 24, 2006
December 31, 2006 January 25, 2007

2006 Annual Audit Filings Due Dates

Period End Due Date
January 31, 2006 April 3, 2006
February 28, 2006 May 1, 2006
March 31, 2006 May 30, 2006
April 30, 2006 June 29, 2006
May 31, 2006 July 31, 2006
June 30, 2006 August 29, 2006
July 31, 2006 September 29, 2006
August 31, 2006 October 30, 2006
September 30, 2006 November 29, 2006
October 31, 2006 January 2, 2007
November 30, 2006 January 30, 2007
December 31, 2006 March 1, 2007

2006 3070/Customer Complaints Due Dates

4th quarter 2005: January 17, 2006
1st quarter 2006: April 17, 2006
2nd quarter 2006: July 17, 2006
3rd quarter 2006: October 16, 2006
4th quarter 2006: January 16, 2007

Market Regulation Department 2006 Short Interest Reporting Deadlines

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

* Trade Date is provided for reference purposes only. Positions are to be reported as of settlement date.

** Eastern Standard Time


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