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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20241031
DTEND;VALUE=DATE:20241101
DTSTAMP:20260412T185054
CREATED:20240214T190636Z
LAST-MODIFIED:20240214T190636Z
UID:6929-1730332800-1730419199@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Deadline
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-deadline-20/
CATEGORIES:Compliance
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DTSTART;VALUE=DATE:20241031
DTEND;VALUE=DATE:20241101
DTSTAMP:20260412T185054
CREATED:20240214T190904Z
LAST-MODIFIED:20240214T190904Z
UID:6931-1730332800-1730419199@www.legayelaw.com
SUMMARY:Annual MSRB Registration Fees Due
DESCRIPTION:As part of its initial registration and annually thereafter\, based on the fiscal year of the Board\, each broker\, dealer\, municipal securities dealer\, and municipal advisor shall pay to the Board an annual registration fee of $1\,000.  The annual registration fee shall be payable in the manner provided by the MSRB Registration Manual.  Subsequent to initial registration\, the annual registration fee is due by October 31 each year.  For any broker\, dealer\, municipal securities dealer\, or municipal advisor that registers and pays an annual registration fee during the month of September\, the annual registration fee for the following fiscal year beginning in October shall be waived. See MSRB A-12.
URL:https://www.legayelaw.com/calendar/annual-msrb-registration-fees-due-4/
CATEGORIES:Compliance
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DTSTART;VALUE=DATE:20241031
DTEND;VALUE=DATE:20241101
DTSTAMP:20260412T185054
CREATED:20240214T195723Z
LAST-MODIFIED:20240214T195723Z
UID:6961-1730332800-1730419199@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2024)
DESCRIPTION: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. Any firm that is required to file the Form OBS must do so as of the last day of a reporting period within 22 business days of the end of each calendar quarter by using the eFOCUS system.  A firm that claims the de minimis exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-schedule-of-derivatives-and-other-off-balance-sheet-items-form-obs-quarter-ended-9-30-2024/
CATEGORIES:Regulatory Financial
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