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When are my financial statements due?

FCMs and RFEDs must file monthly unaudited statements no later than 17 business days after the end of the month. Generally, Independent IBs must file semi-annual unaudited statements no later than 17 business days after the end of the six-month period. However, if the Independent IB is also a securities broker-dealer, it should file using the same cycle for which it files its FOCUS forms. Generally, FCMs and RFEDs and Independent IBs must file annual certified statements no later than 90 days after the close of the firm's fiscal year; however, if the firm is also a securities broker-dealer, its annual certified statement must be filed no later than 60 days after the close of the firm's fiscal year. 

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