FINRA lists filing due dates and contact information on the Compliance/Regulatory Filings page of its Web site. 

Annual Audit Filings.  Annual audited financial reports must be received by the scheduled due date in order to be deemed "received" by FINRA.

  For Period Ending:     Filing Due Date:

• 09/30/10                   11/29/10
• 10/31/10                   12/30/10
• 11/30/10                   01/31/11
• 12/31/10                   03/01/11

Monthly and Fifth FOCUS II/IIA Filings.  A Fifth FOCUS report is an additional report that's due from a member whose fiscal year end is a date other than the calendar quarter.

  For Period Ending:     Filing Due Date:

• 10/31/10                   11/23/10
• 11/30/10                   12/23/10

Quarterly FOCUS Part II/IIA Filings. 

  For Period Ending:     Filing Due Date:

• 12/31/10                   01/26/11

Annual Schedule I/IIA Filings. 

  Annual Schedule I       Filing Due Date:

• 12/31/10                   01/26/11

Disclosure events and Complaints Due Dates. 

  For Period Ending:     Filing Due Date:

• 4th Qtr 2010            01/18/11

Short Interest Reporting Due Dates.

Settlement Date:          ling Due Date:       Exchange Receipt Date:    

• 11/15/10  (Mon)       11/17/10 (6 pm)                11/24/10
• 11/30/10  (Tue)        12/02/10 (6 pm)                12/09/10
• 12/15/10  (Wed)       12/17/10 (6 pm)                12/27/10
• 12/31/10  (Fri)          01/04/11 (6 pm)                01/11/11

Customer Margin Balance Form Due Dates. 

    For Period Ending:     Filing Due Date:

• 11/30/2010               12/08/10