Critical dates for submitting certified annual audits:

NFA:  

Futures Commission Merchants , if 12/31 Fiscal Year End:  March 1, 2021 (60 days after FYE) Fine is $1,000.00/day if filing is late

Commodity Pools,  if 12/31 Fiscal Year End:  March 31, 2021 (90 days after FYE) Fine is $200.00/day if filing is late

Independent Introducing Brokers, if 12/31 Fiscal Year End:  March 31, 2021 (90 days after FYE) Fine is $1,000.00/day if filing is late

SEC/Finra:

Broker Dealers, if 12/31 Fiscal Year End:  March 1, 2021 (or 60 days after FYE) Fine is $100.00/day with a maximum of $1000.00. *If you are in need of an immediate extension, per reg notice 21-05 you can file an extension with your Finra Regulatory Coordinator (RMA) and the extension is good until March 31, 2021.