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January 2022

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

January 27

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

January 27

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 12/31/2021)

January 27

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

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

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

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 November 30, 2021)

January 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 June 30, 2021)

January 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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February 2022

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

February 1

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 12/31/2021)

February 1

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

February 3

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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March 2022

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

March 1

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 December 31, 2021)

March 1

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 July 31, 2021)

March 2

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 6 Assessment (Fiscal year ending August 31, 2021)

March 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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April 2022

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

April 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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May 2022

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

May 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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June 2022

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

June 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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July 2022

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

July 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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