The LeGaye Law Firm P.C. - Financial Services Compliance, Houston, Texas

2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380

Tel: (281) 367-2454
Fax: (866) 338-6353
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2012 Compliance Calendar

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January 2012

January 2, 2012
New Year's FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


January 15, 2012
Firm Element Continuing Education Plan 2011 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More


NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


January 16, 2012
Martin Luther King, Jr. Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


January 17, 2012
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2011)

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding...  Read More


January 26, 2012
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/11)

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does n...  Read More


Monthly Net Capital Computation (Month ending 12/31/11)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 12/31/11)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


Annual Schedule I Filing for 2012

SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.    Read More


Annual FCS Reporting for 2011

FINRA Rule 1160 requires broker/dealers must appoint and certify to FINRA one executive representative to represent, vot...  Read More


Electronic Mail Contacts (MSRB G-40)

MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their pri...  Read More


January 31, 2012
Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q4 2011)

SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclo...  Read More


Firm Element Continuing Education Plan 2012 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More


MSRB Rule G-37 Reporting Requirement

MSRB Rule G-37 requires each broker , dealer or municipal securities dealer shall, by the last day of the month followin...  Read More



February 2012

February 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


February 20, 2012
Presidents' Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


February 24, 2012
Monthly Net Capital Computation (Month ending 1/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 1/31/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


February 29, 2012
Annual Audit Filing Due Date (Period Ending 12/31/2011)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


SIPC Assessments (Year ending December 31, 2011) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


Firm Element Continuing Education Plan 2012 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More



March 2012

March 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


March 23, 2012
Monthly Net Capital Computation (Month ending 2/29/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 2/29/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


March 31, 2012
SIPC Assessments (Year ending January 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


Firm Element Continuing Education Plan 2012 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More



April 2012

April 1, 2012
Attestation for Research Supervisory Procedures NASD Rule 2711(i)

NASD Rule 2711(i) requires that a senior officer of the broker-dealer attest annually to FINRA electronically through ...  Read More


April 2, 2012
Annual Audit Filing Due Date (Period Ending 1/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA throug...  Read More


April 6, 2012
Good Friday FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


April 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


April 16, 2012
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2012)

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding...  Read More


April 25, 2012
Quarterly FOCUS Part llA Filings (Quarter ending 3/31/12)

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does n...  Read More


Monthly Net Capital Computation (Month ending 3/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


April 30, 2012
Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q1 2012)

SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclo...  Read More


SIPC Assessments (Year ending February 29, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


MSRB Rule G-37 Reporting Requirement

MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following...  Read More



May 2012

May 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


May 23, 2012
Monthly Net Capital Computation (Month ending 4/30/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


May 28, 2012
Memorial Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


May 30, 2012
Annual Audit Filing Due Date (Period Ending 3/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


SIPC Assessments (Year ending March 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More



June 2012

June 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


June 25, 2012
Monthly Net Capital Computation (Month ending 5/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 5/31/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


June 29, 2012
Annual Audit Filing Due Date (Period Ending 4/30/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through th...  Read More


SIPC Assessments (Year ending April 30, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More



July 2012

July 2, 2012
Regulatory Notice 12-32

Regulatory Notice 12-32 notified the membership of the implementation of a revised fee structure for Advertising and Cor...  Read More


July 4, 2012
Independence Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


July 9, 2012
FINRA Rule 2111 Suitability

FINRA Rule 2111 becomes effective on July 9, 2012 and requires a member or an associated person must have a reasonable b...  Read More


July 15, 2012
Effective Date - NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


July 16, 2012
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2012)

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding...  Read More


July 23, 2012
Regulatory Notice 12-32

Regulatory Notice 12-32 notified the membership that effective July 23, 2012 the fees for New Membership Applications wi...  Read More


July 25, 2012
Quarterly FOCUS Part llA Filings (Quarter ending 6/30/12)

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does n...  Read More


Monthly Net Capital Computation (Month ending 6/30/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


July 30, 2012
Annual Audit Filing Due Date (Period Ending 5/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through th...  Read More


SIPC Assessments (Year ending May 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


SIPC Assessments (Year ending December 31, 2012) SIPC 6

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


July 31, 2012
Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q2 2012)

SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclo...  Read More


MSRB Rule G-37 Reporting Requirement

MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following...  Read More



August 2012

August 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


August 23, 2012
Monthly Net Capital Computation (Month ending 7/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


August 29, 2012
Annual Audit Filing Due Date (Period Ending 6/30/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


SIPC Assessments (Year ending June 30, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


August 30, 2012
SIPC Assessments (Year ending January 31, 2012) SIPC 6

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More



September 2012

September 3, 2012
Labor Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


September 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


September 19, 2012
District Compliance Meeting - District 1 (San Francisco)

For more information, click on Topics and or Registration.  Space is limited and available on a first-come, first-...  Read More


District Compliance Meeting - District 3A (Denver)

For more information, click on Topics and or Registration.   Space is limited and available on a first-come,...  Read More


September 25, 2012
District Compliance Meeting - District 7 (Boca Raton)

This FINRA District Compliance Conference is located in Fort Lauderdale, FL at the Westin Ft Lauderdale.  For mor...  Read More


September 26, 2012
Monthly Net Capital Computation (Month ending 8/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


September 27, 2012
District Compliance Meeting - District 6 (Dallas)

This Compliance Conference is located in Austin, Texas at the Hilton Austin.  For more information, click on Topics...  Read More


September 28, 2012
SEC Meeting - Dodd-Frank Investor Advisory Committee

The Dodd-Frank Investor Advisory Committee will meet at the SEC Headquarters in Washington DC, from 10AM till 4PM...  Read More


September 29, 2012
SIPC Assessments (Year ending July 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Law...  Read More


September 30, 2012
SIPC Assessments (Year ending February 29, 2012) SIPC 6

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


Firm Element Continuing Education Plan 2012 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More



October 2012

October 1, 2012
Annual Audit Filing Due Date (Period Ending 7/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


SIFMA Municipal Bond Summit

The SIFMA Municipal Bond Summit is located at the Conrad New York, New York, NY.  For more information, click on ...  Read More


Effective Date: Amended TAF Rates for Transactions in Covered Security Futures

Effective October 1, 2012, the Trading Activity Fee (TAF) rate for transactions in covered security futures will decreas...  Read More


October 3, 2012
District Compliance Meeting - District 11 (Boston)

This FINRA District Compliance Conference is located in Boston, MA at the Federal Reserve Bank of Boston.  For mo...  Read More


October 5, 2012
Small Firms Advisory Board Election - Nomination Deadline

FINRA posted an Election Notice to inform FINRA small firm members of the upcoming Small Firm Advisory Board (SFAB)...  Read More


October 9, 2012
District Compliance Meeting - District 10 (Long Island)

This FINRA District Compliance Conference is located in Woodbury, NY at Fox Hollow.  For more information, click ...  Read More


October 10, 2012
FINRA Half Day Compliance Boot Camp

This FINRA Half Day Compliance Boot Camp is located at the FINRA Philadelphia District Office.  For more informat...  Read More


Comment Period Expires - Trace Disseminiation Issues

In Regulatory Notice 12-39, FINRA requested comments on two issues relating to the dissemination of information on TRACE...  Read More


October 11, 2012
District Compliance Meeting - District 2 (Los Angeles)

For more information, click on Topics and or Registration.   Space is limited and available on a first-come,...  Read More


October 15, 2012
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2012)

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding...  Read More


NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


SRO-Hosted Consolidated Audit Trail Industry Event

The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss ...  Read More


October 16, 2012
SRO-Hosted Consolidated Audit Trail Industry Event

The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss...  Read More


October 17, 2012
District Compliance Meeting - District 7 (Boca Raton)

This FINRA District Compliance Conference is located in Coral Gables, FL at The Westin Colonnade.  For more infor...  Read More


District Compliance Meeting - District 9B (Woodbridge)

This FINRA District Compliance Conference is located in Morristown, NJ at the Hyatt Morristown.  For more informa...  Read More


District Compliance Meeting - District 10 (New York)

This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square.  For m...  Read More


Deadline for Qualifiying for Day One Operations Principal

FINRA reminds member firms that any person identified by a member firm as a Day-One Operations Professional who must pas...  Read More


October 22 - 24, 2012
NSCP 2012 National Membership Meeting

The NSCP National Membership Meeting is located at the Washington Hilton, Washington, DC.  For more information, ...  Read More


October 23, 2012
Quarterly FOCUS Part llA Filings (Quarter ending 9/30/12)

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does n...  Read More


Monthly Net Capital Computation (Month ending 9/30/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


SIFMA 2012 Annual Meeting

The SIFMA 2012 Annual Meeting is located at the New York Marriott Marquis, New York, NY.  For more information on...  Read More


October 25 - 26, 2012
FINRA Annual Advertsing Regulation Conference

FINRA's annual Advertising Regulation Conference is located in Washington DC.  View the online brochure to l...  Read More


October 26, 2012
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 9/30/12) FINRA Rule 4524

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 busi...  Read More


October 30, 2012
Annual Audit Filing Due Date (Period Ending 8/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


SIPC Assessments (Year ending August 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


SIPC Assessments (Year ending March 31, 2012) SIPC 6

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


October 31, 2012
Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q3 2012)

SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclo...  Read More


MSRB Rule A•14 (Annual Fee)

MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municip...  Read More



November 2012

November 1, 2012
Submission of Post-Dated Forms Web CRD/IARD Forms

Beginning 11/1/2012 Firms may begin to submit post-dated Forms BDW, ADV-W and BR losing /Withdrawal with a date of Decem...  Read More


November 5, 2012
Effective Date: Amendment to Trace Reporting Requirements (Regulatory Notice 12-26)

In Regulatory Notice 12-26, FINRA advised memebership that theThe SEC approved amendments to FINRA Rule 6700 Series an...  Read More


November 7, 2012
District Compliance Meeting - District 10 (New York)

This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square.  For m...  Read More


November 8, 2012
District Compliance Meeting - District 6 (Dallas)

This FINRA Compliance Conference is located in Dallas, Texas at the Hilton Anatole.  For more information, click ...  Read More


November 11 - 16, 2012
FINRA Institute at Wharton - Week II Advanced Topics

    Designed for the high-potential executive, Week II of the FINRA Institute at Wharton program deli...  Read More


November 12, 2012
Preliminary Renewal Statements are available on Web CRD/IARD.

Beginning November 12, 2012, Preliminary Renewal Statements are available for viewing and printing on Web CRD/IARD.   Read More


November 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


2012 Annual SEC Government-Business Forum on Small Business Capital Formation

The Securities and Exchange Commission will hold its 31st annual SEC Government-Business Forum on Small Business Cap...  Read More


November 22, 2012
Thanksgiving Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


November 26, 2012
Monthly Net Capital Computation (Month ending 10/31/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


November 29, 2012
Annual Audit Filing Due Date (Period Ending 9/30/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More


November 30, 2012
SIPC Assessments (Year ending September 30, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


SIPC Assessments (Year ending April 30, 2012) SIPC 6

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


Firm Element Continuing Education Plan 2012 FINRA Rule 1250

FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with...  Read More


Effective Date: Amendment to Short Interest Reporting (Regulatory Notice 12-38)

In Regulatory Notice 12-38, FINRA advised memebership that the SEC approved amendments to FINRA Rule 4560 (Short-Interes...  Read More


Effective Date: Enhanced Electronic Blue Sheet Submissions

FINRA and the other ISG‐interested members have extended the effective date for compliance with certain new data eleme...  Read More



December 2012

December 3, 2012
Effective Date of FINRA Rule 5123 - Private Placement of Securities

FINRA announced in Regulatory Notice 12-40 that the SEC has approved new FINRA Rule 5123 to require each FINRA member ...  Read More


December 12, 2012
District Compliance Meeting - District 9A (Philadelphia)

This FINRA District Compliance Conference is located at the FINRA DC Headquarters Visitors Center.  For more info...  Read More


December 13, 2012
Preliminary Renewal Statement- Payment Due

FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements to FINRA...  Read More


December 15, 2012
NASD Rule 3050 Transactions for Associated Persons

In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the exi...  Read More


FINRA Rule 3270 Outside Business Activities

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer...  Read More


NASD Rule 3040 Private Securities Transactions of an Associated Person

Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction wit...  Read More


December 21, 2012
Deadline to Submit Form Filings

Final form filings must be submitted by 6 PM EST via Web CRD/IARD and electronic funds transfers must be submitted by 3P...  Read More


December 25, 2012
Christmas Day FINRA Holiday Markets are Closed

http://www.finra.org/AboutFINRA/HolidaySchedule/  Read More


December 26, 2012
Monthly Net Capital Computation (Month ending 11/30/12)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence o...  Read More


Monthly & Fifth' FOCUS IIA Filings (Month ending 11/30/12)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who c...  Read More


December 30, 2012
SIPC Assessments (Year ending October 31, 2012) SIPC 7

Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws ...  Read More


December 31, 2012
Annual Audit Filing Due Date (Period Ending 10/31/2012)

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through ...  Read More




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