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September 2021

Monthly Net Capital Computation (Month ending 8/31/2021)

September 24

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 8/31/21)

September 24

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March, June, September, or December. The Part IIA of Form X-17 A-5 should be filed…

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Annual Audit Filing Due Date (Period Ending 7/31/2021)

September 29

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

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SIPC 7 Assessment (Fiscal year ending July 31, 2021)

September 29

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

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SIPC 6 Assessment (Fiscal year ending February 28, 2021)

September 30

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

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October 2021

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2021)

October 15

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any person other than a broker or dealer with whom the member has engaged. or has sought to engage, in securities activities, and "complaint" includes any…

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Monthly Net Capital Computation (Month ending 9/30/2021)

October 25

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Find out more »

Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2021)

October 25

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.

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Quarterly Form Custody (Quarter ended 9/30/2021)

October 25

A broker-dealer  must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 9/30/2021)

October 28

The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2021)

October 28

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses.

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Annual Audit Filing Due Date (Period Ending 8/31/2021)

October 30

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

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SIPC 6 Assessment (Fiscal year ending March 31, 2021)

October 30

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

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SIPC 7 Assessment (Fiscal year ending August 31, 2021)

October 30

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

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November 2021

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2021)

November 1

Unless subject to the de minimis exception, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or carry customer accounts; and (2) all other FINRA member firms that have, pursuant to SEA Rule 15c3-1, a minimum dollar net capital requirement equal to or greater than $100,000 and at least $10 million in reportable items pursuant to the Form OBS.7 Any firm that is required to file the…

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Monthly Net Capital Computation (Month ending 10/31/2021)

November 23

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/21)

November 23

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March, June, September, or December. The Part IIA of Form X-17 A-5 should be filed…

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FINRA Market Early Close – Day before Thanksgiving Day (3 p.m. early close)

November 24

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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FINRA Market Holiday – Thanksgiving Day

November 25

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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FINRA Market Early Close – Day after Thanksgiving (1 p.m. early close)

November 26

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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Annual Audit Filing Due Date (Period Ending 9/30/2021)

November 29

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

Find out more »

SIPC 7 Assessment (Fiscal year ending September 30, 2021)

November 29

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

SIPC 6 Assessment (Fiscal year ending April 30, 2021)

November 30

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

December 2021

Monthly Net Capital Computation (Month ending 11/30/2021)

December 23

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/21)

December 23

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March, June, September, or December. The Part IIA of Form X-17 A-5 should be filed…

Find out more »

FINRA Market Early Close – Christmas Eve (1 p.m. early close)

December 23

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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FINRA Market Holiday – Christmas Day

December 24

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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Annual Audit Filing Due Date (Period Ending 10/31/2021)

December 30

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

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SIPC 6 Assessment (Fiscal year ending May 31, 2021)

December 30

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

SIPC 7 Assessment (Fiscal year ending October 31, 2021)

December 30

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

FINRA Market Early Close – New Year’s Eve (3 p.m. early close)

December 31

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

Find out more »

January 2022

FINRA Market Holiday – New Year’s Day

January 3, 2022

FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition, FINRA and financial markets may close early the day before a holiday.

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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2021)

January 15, 2022

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any person other than a broker or dealer with whom the member has engaged. or has sought to engage, in securities activities, and "complaint" includes any…

Find out more »

Monthly Net Capital Computation (Month ending 12/31/2021)

January 27, 2022

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Find out more »

Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2021)

January 27, 2022

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.

Find out more »

Quarterly Form Custody (Quarter ended 12/31/2021)

January 27, 2022

A broker-dealer  must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Annual Schedule I Filing for 2021

January 27, 2022

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

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Annual Firm filing and Contact Reporting for 2021

January 27, 2022

FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic e-mail account for communication with FINRA and must update firm contact information. Firms must conduct a review and update its executive representative information through the…

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Annual Audit Filing Due Date (Period Ending 11/30/2021)

January 29, 2022

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

Find out more »

SIPC 7 Assessment (Fiscal year ending November 30, 2021)

January 29, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

SIPC 6 Assessment (Fiscal year ending June 30, 2021)

January 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

February 2022

Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2021)

February 1, 2022

The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual…

Find out more »

Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2021)

February 1, 2022

FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses.

Find out more »

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2021)

February 3, 2022

Unless subject to the de minimis exception, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or carry customer accounts; and (2) all other FINRA member firms that have, pursuant to SEA Rule 15c3-1, a minimum dollar net capital requirement equal to or greater than $100,000 and at least $10 million in reportable items pursuant to the Form OBS.7 Any firm that is required to file the…

Find out more »

March 2022

Annual Audit Filing Due Date (Period Ending 12/31/2021)

March 1, 2022

SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators, where required. To be a valid filing, the Annual Audit must be physically received by FINRA, the SEC and the…

Find out more »

SIPC 7 Assessment (Fiscal year ending December 31, 2021)

March 1, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

SIPC 6 Assessment (Fiscal year ending July 31, 2021)

March 2, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

SIPC 6 Assessment (Fiscal year ending August 31, 2021)

March 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

April 2022

SIPC 6 Assessment (Fiscal year ending September 30, 2021)

April 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

May 2022

SIPC 6 Assessment (Fiscal year ending October 31, 2021)

May 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

June 2022

SIPC 6 Assessment (Fiscal year ending November 30, 2021)

June 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Find out more »

July 2022

SIPC 6 Assessment (Fiscal year ending December 31, 2021)

July 30, 2022

Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

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