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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20251024
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CREATED:20250117T170652Z
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UID:7123-1761264000-1761350399@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2025)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/quarterly-focus-part-lla-filings-quarter-ending-9-30-2025/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20251024
DTEND;VALUE=DATE:20251025
DTSTAMP:20260411T223155
CREATED:20250117T183048Z
LAST-MODIFIED:20250117T183048Z
UID:7182-1761264000-1761350399@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 9/30/2025)
DESCRIPTION:A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
URL:https://www.legayelaw.com/calendar/quarterly-form-custody-quarter-ended-9-30-2025/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20251024
DTEND;VALUE=DATE:20251025
DTSTAMP:20260411T223155
CREATED:20250117T185032Z
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UID:7190-1761264000-1761350399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2025)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/quarterly-supplemental-statement-of-income-ssoi-quarter-ending-9-30-2025/
CATEGORIES:Regulatory Financial
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