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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