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Bulletin #0414-M

Membership Information
2010 Financial Filing Deadlines



Contact: Ken Woodard
BULLETIN #0414–M
Director, Communications & Membership Services
December 9, 2009
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm


2010 Financial Filing Deadlines

Members are reminded that, unless they are subject to earlier filing deadlines due to early
warning requirements, they are required to file an unaudited Financial Questionnaire and Report
with the MFDA no later than 20 business days after the month end and audited financial
statements and an audited Financial Questionnaire and Report no later than 90 days after the
Member’s fiscal year end.

MFDA Rule 3.5.5(b) provides for the levy of fines or assessments for the failure of a Member or
its auditor to file any report, form or financial statements required under MFDA Rule 3. As of
December 1, 2003, the MFDA commenced imposing fees for late filing of information in the
amounts prescribed in the attached Schedule A.

Attached as Schedule B is a schedule outlining financial filing deadlines for 2010.

(DM Doc #186486)
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SCHEDULE A
MUTUAL FUND DEALERS ASSOCIATION OF CANADA
ASSESSMENTS FOR LATE FILING


Name of Filing
Filing Deadline
Fine
1.
Annual Audited Financial
Within 90 days of
$250/business day
Questionnaire and Report
Member’s fiscal year end
and Audited Financial
Statements
2. Unaudited
Financial
Within 20 business days of
$100/business day
Questionnaire and Report
the month end. Earlier
filing deadlines apply to
those subject to early
warning.
3.
Any other form or report
As determined by the
$100/business day
requested by the Corporation Corporation
under Rule 3.

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SCHEDULE B
MUTUAL FUND DEALERS ASSOCIATION OF CANADA
2010 FINANCIAL FILING DEADLINES

UNAUDITED FINANCIAL
AUDITED FINANCIAL
QUESTIONNAIRE AND REPORT
QUESTIONNAIRE AND REPORT AND
AUDITED FINANCIAL STATEMENTS
MONTH ENDING
DUE FISCAL
YEAR DUE

ENDING
January 31, 2010
February 26, 20101
January 31, 2010
May 3, 2010
February 28, 2010
March 26, 2010
February 28, 2010
May 31, 2010
March 31, 2010
April 29, 2010
March 31, 2010
June 29, 2010
April 30, 2010
May 31, 2010
April 30, 2010
July 29, 2010
May 31, 2010
June 28, 20102
May 31, 2010
August 30, 2010
June 30, 2010
July 29, 2010
June 30, 2010
September 28, 2010
July 31, 2010
August 30, 20103
July 31, 2010
October 29, 2010
August 31, 2010
September 29, 2010
August 31, 2010
November 29, 2010
September 30, 2010
October 29, 2010
September 30, 2010
December 29, 2010
October 31, 2010
November 26, 20104
October 31, 2010
January 29, 2011
November 30, 2010
December 30, 2010
November 30, 2010
February 28, 2011
December 31, 2010
January 31, 2011
December 31, 2010
March 31, 2011

The above dates take into consideration all national and provincial statutory holidays.

1 March 1, 2010 for Members with head offices located in the provinces of Ontario, Manitoba, Alberta and Saskatchewan.
2 June 29, 2010 for Members with head offices located in the province of Quebec.
3 August 27, 2010 for Members with head offices located in the province of Quebec.
4 November 29, 2010 for Members with head offices located in British Columbia, Alberta, Saskatchewan, Quebec, Prince
Edward Island and Newfoundland.
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