Annual Reporting Updates Part I (Duration: 34 minutes)
Join FINRA staff to review year-end annual reporting requirements. Subject matter experts will cover audit extension policies and guide you through implementing the SEC's new electronic filing rule.
FINRA Speakers:
- Anthony Vinci, Senior Director, OFORP
- Ann Duguid, Senior Director, OFORP
- Karne Avellino, Senior Principal Analyst, Risk Monitoring Resources
Resources:
- Information Notice 11/14/25: SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
- eFOCUS - Financial and Operational Combined Uniform Single Reports
- Information Notice 11/10/25: 2026 and First Quarter of 2027 Report Filing Due Dates
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