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2004 – 2005 Filing Due Dates

NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaints, and Short Interest Reports 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.

2005 FOCUS Due Dates

Annual Schedule I for 2004 Year End Due Date
2004 FOCUS Schedule January 26, 2005
Annual Schedule I for 2005 Year End Due Date
2005 FOCUS Schedule January 25, 2006

2005 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, 2005 February 24, 2005
February 28, 2005 March 23, 2005
April 30, 2005 May 24, 2005
May 31, 2005 June 23, 2005
July 31, 2005 August 23, 2005
August 31, 2005 September 26, 2005
October 31, 2005 November 23, 2005
November 30, 2005 December 23, 2005

2005 Quarterly FOCUS Part II/IIA Filings

Quarter Ending Due Date
December 31, 2004 January 26, 2005
March 31, 2005 April 25, 2005
June 30, 2005 July 26, 2005
September 30, 2005 October 25, 2005
December 31, 2005 January 25, 2006

2005 Annual Audit Filings Due Dates

Period End Due Date
January 31, 2005 April 1, 2005
February 28, 2005 April 29, 2005
March 31, 2005 May 31, 2005
April 30, 2005 June 29, 2005
May 31, 2005 August 1, 2005
June 30, 2005 August 29, 2005
July 31, 2005 September 29, 2005
August 31, 2005 October 31, 2005
September 30, 2005 November 29, 2005
October 31, 2005 December 30, 2005
November 31, 2005 January 30, 2006
December 31, 2005 March 1, 2006

2005 3070/Customer Complaints Due Dates

4th quarter 2004: January 18, 2005
1st quarter 2005: April 15, 2005
2nd quarter 2005: July 15, 2005
3rd quarter 2005: October 17, 2005
4th quarter 2005: January 17, 2006

Market Regulation Department 2005 Short Interest Reporting Deadlines

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

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


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