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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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TZID:America/Chicago
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DTSTART:20240310T080000
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DTSTART:20251102T070000
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DTSTART:20260308T080000
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DTSTART:20261101T070000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T225921
CREATED:20240209T215147Z
LAST-MODIFIED:20240209T215147Z
UID:6794-1737936000-1738022399@www.legayelaw.com
SUMMARY:Annual Schedule I Filing for 2024
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-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T225921
CREATED:20240214T194727Z
LAST-MODIFIED:20240214T203936Z
UID:6953-1737936000-1738022399@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2024)
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-12-31-2023-3/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T225921
CREATED:20240214T201254Z
LAST-MODIFIED:20240214T201254Z
UID:6979-1737936000-1738022399@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 12/31/2024)
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-12-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T225921
CREATED:20250121T190136Z
LAST-MODIFIED:20250121T190136Z
UID:7269-1737936000-1738022399@www.legayelaw.com
SUMMARY:Annual Firm Filing and Contact Reporting for 2024
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-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250129
DTEND;VALUE=DATE:20250130
DTSTAMP:20260407T225921
CREATED:20240214T202220Z
LAST-MODIFIED:20240214T202220Z
UID:6987-1738108800-1738195199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 11/30/2024)
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-11-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250129
DTEND;VALUE=DATE:20250130
DTSTAMP:20260407T225921
CREATED:20240301T170756Z
LAST-MODIFIED:20240301T170756Z
UID:7037-1738108800-1738195199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending November 30\, 2024)
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-november-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250130
DTEND;VALUE=DATE:20250131
DTSTAMP:20260407T225921
CREATED:20240209T214732Z
LAST-MODIFIED:20240214T204225Z
UID:6790-1738195200-1738281599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
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-12-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250130
DTEND;VALUE=DATE:20250131
DTSTAMP:20260407T225921
CREATED:20240214T200912Z
LAST-MODIFIED:20240214T200912Z
UID:6975-1738195200-1738281599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2024)
DESCRIPTION: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 funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-12-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250130
DTEND;VALUE=DATE:20250131
DTSTAMP:20260407T225921
CREATED:20240214T201639Z
LAST-MODIFIED:20240214T201639Z
UID:6983-1738195200-1738281599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
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-12-31-2024-2/
CATEGORIES:Regulatory Financial
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