Broker-dealer annual reports - X-17A-5 Part III
Year end: 31 March 2027. Audit: BD audit + compliance/exemption report (PCAOB) Deadline basis: 60 days (rolled from Sun 30 May).
Set reminder for Broker-dealer annual reports - X-17A-5 Part IIIAudit Due Dates Calendar
U.S. audit filing deadlines for SEC filers, employee benefit plans, private funds and broker-dealers.
| Sun | Mon | Tue | Wed | Thu | Fri | Sat |
|---|---|---|---|---|---|---|
| Broker-dealer annual reports - X-17A-5 Part IIISEC 10-K - large accelerated filer | ||||||
| SEC 10-K - accelerated filer | ||||||
| Smaller broker-dealer annual reports - 30-day reliefFund of funds - audited statements to investorsSEC 10-K - non-accelerated filer +1 more events on June 29 | Single Audit submission - nine-month date |
Dates in June
8 datesSEC 10-K - large accelerated filer
Year end: 31 March 2027. Audit: Integrated audit: FS + ICFR (PCAOB) Deadline basis: 60 days (rolled from Sun 30 May).
Set reminder for SEC 10-K - large accelerated filerSEC 10-K - accelerated filer
Year end: 31 March 2027. Audit: Integrated audit: FS + ICFR (PCAOB) Deadline basis: 75 days.
Set reminder for SEC 10-K - accelerated filerSmaller broker-dealer annual reports - 30-day relief
Year end: 31 March 2027. Audit: BD audit + exemption report review (PCAOB) Deadline basis: 90 days. The additional 30 days apply only to eligible broker-dealers meeting the SEC relief conditions.
Set reminder for Smaller broker-dealer annual reports - 30-day reliefFund of funds - audited statements to investors
Year end: 31 December 2026. Audit: Private fund audit (PCAOB-registered firm) Deadline basis: 180 days. Calendar-day distribution date; no weekend or holiday shift is applied in the supplied schedule.
Set reminder for Fund of funds - audited statements to investorsSEC 10-K - non-accelerated filer
Year end: 31 March 2027. Audit: FS audit (PCAOB), no ICFR attestation Deadline basis: 90 days.
Set reminder for SEC 10-K - non-accelerated filerSEC Form 11-K - filed under ERISA
Year end: 31 December 2026. Audit: Employee stock plan audit (PCAOB) Deadline basis: 180 days.
Set reminder for SEC Form 11-K - filed under ERISASingle Audit submission - nine-month date
Year end: 30 September 2026. Audit: FS + federal compliance (GAGAS, Uniform Guidance) Deadline basis: 9 months. Submit by the earlier of 30 calendar days after receiving the auditor's report or nine months after year end. This entry shows the unadjusted nine-month planning date from the supplied schedule. A filing deadline on a weekend or federal holiday moves to the next business day.
Set reminder for Single Audit submission - nine-month date
