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December 2022

Monthly Net Capital Computation (Month ending 11/30/2022)

December 23

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/22)

December 23

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March, June, September, or December. The Part IIA of Form X-17 A-5 should be filed…

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Annual Audit Filing Due Date (Period Ending 10/31/2022)

December 30

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…

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SIPC 7 Assessment (Fiscal year ending October 31, 2022)

December 30

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.

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January 2023

Annual Firm filing and Contact Reporting for 2022

January 26, 2023

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…

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Monthly Net Capital Computation (Month ending 12/31/2022)

January 26, 2023

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

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Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2022)

January 26, 2023

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.

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Quarterly Form Custody (Quarter ended 12/31/2022)

January 26, 2023

A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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SIPC 7 Assessment (Fiscal year ending November 30, 2022)

January 29, 2023

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.

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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2021)

January 30, 2023

The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual…

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Annual Audit Filing Due Date (Period Ending 11/30/2022)

January 30, 2023

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…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2022)

January 31, 2023

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.

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February 2023

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2022)

February 2, 2023

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.7 Any firm that is required to file the…

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March 2023

Annual Audit Filing Due Date (Period Ending 12/31/2022)

March 1, 2023

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…

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SIPC 7 Assessment (Fiscal year ending December 31, 2022)

March 1, 2023

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.

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