Annual Audit Filing Due Date (Period Ending 11/30/2022)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail overnight carrier or through EDGAR not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit Report must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the state regulators by the due date. (Note: if the Annual Audit cannot be completed by the due date a request for extension to the Annual Audit Report due date must be filed in writing to the FINRA District Office 3 business days prior to the due date).