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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T190433
CREATED:20260602T214136Z
LAST-MODIFIED:20260602T214136Z
UID:7817-1798588800-1798675199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 10/31/2026)
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 regulators\, 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-10-31-2026/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T190433
CREATED:20260603T172229Z
LAST-MODIFIED:20260603T172808Z
UID:7835-1798588800-1798675199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending May 31\, 2026)
DESCRIPTION:Members of SIPC are required to pay an assessment on Net Operating Revenue\, as defined by the SIPC By Laws Article VI\, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-april-30-2026/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T190433
CREATED:20260603T194840Z
LAST-MODIFIED:20260603T194840Z
UID:7887-1798588800-1798675199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending October 31\, 2026)
DESCRIPTION:Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.
URL:https://www.legayelaw.com/calendar/sipc-7-assessment-fiscal-year-ending-october-31-2026/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T190433
CREATED:20260603T210404Z
LAST-MODIFIED:20260603T210404Z
UID:7994-1798588800-1798675199@www.legayelaw.com
SUMMARY:MSRB Annual Review and Testing of Supervisory Controls
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer to conduct a review\, at least annually\, of the municipal securities activities in which it engages\, which review shall be reasonably designed to assist in detecting and preventing violations of\, and achieving compliance with\, applicable securities laws and regulations\, and with applicable Board rules. Each dealer shall review the municipal securities activities of each office\, which shall include the periodic examination of customer accounts to detect and prevent irregularities or abuses.
URL:https://www.legayelaw.com/calendar/msrb-annual-review-and-testing-of-supervisory-controls/
CATEGORIES:Compliance
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