Jan 28, 2016 | News

NFA and FINRA Certified Audits – Important Deadlines 2016

2016 is a leap year.  Therefore, certified audits are due to be filed on a different day of the month than the typical calendar year.

Please note the dates below:

Broker Dealers Audits:  To FINRA 60 days after fiscal year end (February 29, 2016 if year end is December 31, 2015)

Independent Introducing Broker Audits and SWAP IBs:  To NFA 90 days after fiscal year end (March 30, 2016 if year end is December 31, 2015)

Commodity Pools:  To NFA 90 days after fiscal year end (March 30, 2016 if year end is December 31, 2015)

Futures Commission Merchants:  To NFA 60 days after fiscal year end:  (February 29, 2016 if year end is December 31, 2015)

 

 

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