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.