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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:20241103T070000
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DTSTART:20250309T080000
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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:20250523
DTEND;VALUE=DATE:20250524
DTSTAMP:20260407T151312
CREATED:20250117T161457Z
LAST-MODIFIED:20250117T161457Z
UID:7107-1747958400-1748044799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 4/30/2025)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/monthly-net-capital-computation-month-ending-4-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250523
DTEND;VALUE=DATE:20250524
DTSTAMP:20260407T151312
CREATED:20250117T171931Z
LAST-MODIFIED:20250117T171931Z
UID:7132-1747958400-1748044799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/25)
DESCRIPTION: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 within 17 business days after the end of the fiscal year.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-4-30-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250529
DTEND;VALUE=DATE:20250530
DTSTAMP:20260407T151312
CREATED:20250117T181007Z
LAST-MODIFIED:20250117T181007Z
UID:7160-1748476800-1748563199@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2025)
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-04-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250530
DTEND;VALUE=DATE:20250531
DTSTAMP:20260407T151312
CREATED:20250121T153449Z
LAST-MODIFIED:20250121T153449Z
UID:7200-1748563200-1748649599@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250530
DTEND;VALUE=DATE:20250531
DTSTAMP:20260407T151312
CREATED:20250121T180933Z
LAST-MODIFIED:20250121T180933Z
UID:7248-1748563200-1748649599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending March 31\, 2025)
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-march-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR