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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:20261025
DTEND;VALUE=DATE:20261029
DTSTAMP:20260619T145621
CREATED:20260604T160716Z
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UID:8001-1792886400-1793231999@www.legayelaw.com
SUMMARY:NSCP National Conference
DESCRIPTION:The NSCP National Conference provides a setting for Investment Advisers\, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals\, attendees will meet and discuss those issues most pressing to them\, before they meet with the SEC\, DOL & FINRA regulators.
URL:https://www.legayelaw.com/calendar/nscp-national-conference/
LOCATION:Hyatt Regency Grand Cypress – Orlando\, FL
CATEGORIES:Conferences
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DTSTART;VALUE=DATE:20261025
DTEND;VALUE=DATE:20261029
DTSTAMP:20260619T145621
CREATED:20260604T171433Z
LAST-MODIFIED:20260604T171433Z
UID:8023-1792886400-1793231999@www.legayelaw.com
SUMMARY:SILA – National Education Conference
DESCRIPTION:The Securities and Insurance Licensing Association (“SILA”) National Education Conference is a yearly event that provides education and networking opportunities for professionals in the insurance and securities licensing industries. The conference features industry speakers\, interactive sessions\, and an exhibitor fair.
URL:https://www.legayelaw.com/calendar/sila-national-education-conference/
LOCATION:Chicago\, IL\, Chicago\, Illinois
CATEGORIES:Conferences
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DTSTART;VALUE=DATE:20261026
DTEND;VALUE=DATE:20261027
DTSTAMP:20260619T145621
CREATED:20260602T164903Z
LAST-MODIFIED:20260602T164903Z
UID:7683-1792972800-1793059199@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2026)
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-9-30-2026/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20261026
DTEND;VALUE=DATE:20261027
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CREATED:20260602T211501Z
LAST-MODIFIED:20260602T211501Z
UID:7769-1792972800-1793059199@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 9/30/2026)
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-9-30-2026/
CATEGORIES:Regulatory Financial
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