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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260413T022236
CREATED:20240212T222914Z
LAST-MODIFIED:20240212T222914Z
UID:6843-1719792000-1719878399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 4/30/2024)
DESCRIPTION: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 regulator\, where required. To be a valid filing\, the Annual Audit must be physically received by FINRA\, the SEC and the state regulators by the due date. (Note: if the Annual Audit cannot be completed by the due date a request for extension to the Annual Audit due date must be made in writing to the FINRA District Office 3 business days prior to the due date).
URL:https://www.legayelaw.com/calendar/annual-audit-filing-due-date-period-ending-4-30-2024/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260413T022236
CREATED:20240213T201745Z
LAST-MODIFIED:20240213T201745Z
UID:6899-1719792000-1719878399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 05/31/2024)
DESCRIPTION: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. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-05-31-2024/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260413T022236
CREATED:20240214T185459Z
LAST-MODIFIED:20240214T185459Z
UID:6923-1719792000-1719878399@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Period Opens
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer shall\, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth\, in the prescribed format\, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer\, in total\, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party\, in total\, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter\, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter.(B) a list of issuers with which the broker\, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter\, listed by state\, along with the type of municipal securities business;(C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph I(ijj) of the Rule;(D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule\, and the date of such automatic exemption.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-period-opens-20/
CATEGORIES:Compliance
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