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X-WR-CALNAME:LeGaye Law Firm
X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART:20251102T070000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260127
DTEND;VALUE=DATE:20260128
DTSTAMP:20260411T143937
CREATED:20250117T170941Z
LAST-MODIFIED:20250117T170941Z
UID:7125-1769472000-1769558399@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260127
DTEND;VALUE=DATE:20260128
DTSTAMP:20260411T143937
CREATED:20250117T183406Z
LAST-MODIFIED:20250117T183406Z
UID:7184-1769472000-1769558399@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260127
DTEND;VALUE=DATE:20260128
DTSTAMP:20260411T143937
CREATED:20250117T185142Z
LAST-MODIFIED:20250117T185142Z
UID:7192-1769472000-1769558399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260127
DTEND;VALUE=DATE:20260128
DTSTAMP:20260411T143937
CREATED:20250117T185504Z
LAST-MODIFIED:20250117T185504Z
UID:7194-1769472000-1769558399@www.legayelaw.com
SUMMARY:Annual Schedule I Filing for 2025
DESCRIPTION:SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
URL:https://www.legayelaw.com/calendar/annual-schedule-i-filing-for-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260127
DTEND;VALUE=DATE:20260128
DTSTAMP:20260411T143937
CREATED:20250121T190248Z
LAST-MODIFIED:20250121T190248Z
UID:7271-1769472000-1769558399@www.legayelaw.com
SUMMARY:Annual Firm Filing and Contact Reporting for 2025
DESCRIPTION: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 FCS System on an annual basis within 17 business days after the end of the calendar year.
URL:https://www.legayelaw.com/calendar/annual-firm-filing-and-contact-reporting-for-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR