Submission deadlines and task list for October 2021 | before


INVESTMENT ADVISORS

  • Form 13H: Modification of form 13H due as soon as possible for advisers who already have an obligation to submit the form 13H and who have modifications to make to any information declared. Recommended due date: October 13, 2021. (Note: Neither the SEC nor its staff have provided written guidelines defining “promptly” for the Form 13H.)

HEDGE / PRIVATE FUND ADVISORS

  • PF Form for Large Liquidity Fund Advisors: Large Liquidity Fund advisers must file Form PF with the SEC on the P&C system within 15 days of the end of each fiscal quarter. The deposit for the third quarter of 2021 is of October 15 2021.
  • Blue Sky Deposits (Form D). Private fund advisers should review Blue Sky fund deposits and determine if amended or new deposits are required. Generally, most states require the filing of a notice (“blue sky deposit”) within 15 days of the first sale of an interest in a fund, but state laws vary. Of October 15, 2021.

BROKER-DEALERS

  • FINRA accounting assistance costs: Quarterly invoice in support of the GASB budget. Based on the municipal titles that the company declared to the MSRB. De Minimis businesses (who owe less than $ 25) will not receive an invoice. Invoices are sent to the company via WebCRD’s electronic invoice. Due date to be determined.
  • Quarterly statistical summary of customer complaints: for complaints received during the third quarter. FINRA Rule 4530 requires member firms to submit statistical and summary information regarding complaints received during the quarter no later than the 15th of the month following the calendar quarter. Due date October 15 2021.
  • Quarterly FOCUS Part II / IIA filings: For the quarter ending September 30, 2021. FINRA requires member firms to file a FOCUS (Financial and Operational Combined Uniform Single) Part II or IIA report on a quarterly basis. Clearing houses and accounts receivable companies file Part II and IPOs file Part IIA. Due date October 26, 2021.
  • Quarterly Form Filing: The SEC requires all brokers to file a form filing under Rule 17a-5 (a) (5) of the Securities Exchange Act for the quarter ending September 30, 2021. Due date October 26, 2021.
  • Supplementary Statement of Income (“SSOI”): For the quarter ending September 30, 2021. FINRA requires member companies to submit additional and detailed information regarding the categories of income and expense reported on the Statement of Income page (losses) of the FOCUS report. Part II / IIA. Due October 29 2021.
  • Supplementary Inventory Annex (“SIS”): For the month ending September 30, 2021. The SIS must be filed by a company that is required to file the FOCUS Part II report, the FOCUS Part IIA report or the FOGS Part report I, with inventory positions as of end of FOCUS or FOGS reporting period, unless the business has (1) a minimum net dollar capital or liquid capital requirement of less than $ 100,000; or (2) inventory positions consisting solely of money market mutual funds. A company with inventory positions consisting only of money market mutual funds must report through the eFOCUS system that no SIS deposit is required for the reporting period. Due October 29 2021.
  • SIPC-3 Membership Exclusion Certification: For companies with a September 30 year-end AND claiming exclusion from SIPC membership under section 78ccc (a) (2) (A) of the Securities Investor Protection Act of 1970. This annual filing is due within 30 days of the start of each fiscal year . Due date October 30 2021.
  • SIPC-6 Assessment: For companies with a March 31 year-end. SIPC members must file for the first semester of the fiscal year a SIPC-6 General Assessment Payment Form along with the assessment due within 30 days of the period covered. Due date October 30 2021.
  • SIPC-7 Assessment: For companies with an August 31 year-end. SIPC members are required to file the SIPC-7 General Assessment Reconciliation Form with the assessment due (less any assessment paid with the SIPC-6) within 60 days. after the EF. Due date October 30, 2021.

COMMON FUNDS

  • Form N-MFP. The N-MFP (Monthly Portfolio Holders Program of Money Market Funds) form provides information about the fund’s holdings as of the last business day of the previous calendar month and must be filed no later than the fifth business day of each calendar month. The due date is October 7, 2021.

Photo credit: Image by 11066063 of Pixabay.


Comments are closed.