Information Notice 11/1/23

On November 1, 2023, the Financial Industry Regulatory Authority (FINRA) issued an information notice to remind firms of their obligation to file on time
– the Annual Report,
– the Financial and Operational Combined Uniform Single (FOCUS) Reports,
– Form Custody,
– the Supplemental Statement of Income (SSOI),
– the Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS),
– the Supplemental Liquidity Schedule (SLS), and / or
– the Supplemental Inventory Schedule (SIS)
depending on the nature and scope of their business. To support firms complying with the reporting requirement(s), FINRA has published all relevant due dates in the notice up to early 2025. Furthermore, FINRA reminds firms that all such filings submitted to FINRA must be made electronically through FINRA Gateway, FINRA’s online reporting and compliance system.