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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20261026
DTEND;VALUE=DATE:20261027
DTSTAMP:20260622T182608
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
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261026
DTEND;VALUE=DATE:20261027
DTSTAMP:20260622T182608
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
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261029
DTEND;VALUE=DATE:20261030
DTSTAMP:20260622T182608
CREATED:20260602T210517Z
LAST-MODIFIED:20260602T210517Z
UID:7751-1793232000-1793318399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2026)
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-9-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261029
DTEND;VALUE=DATE:20261030
DTSTAMP:20260622T182608
CREATED:20260602T212338Z
LAST-MODIFIED:20260602T212338Z
UID:7781-1793232000-1793318399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2026)
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-9-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261030
DTEND;VALUE=DATE:20261031
DTSTAMP:20260622T182608
CREATED:20260602T213731Z
LAST-MODIFIED:20260602T213731Z
UID:7811-1793318400-1793404799@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 8/31/2026)
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-8-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261030
DTEND;VALUE=DATE:20261031
DTSTAMP:20260622T182608
CREATED:20260603T171929Z
LAST-MODIFIED:20260603T171929Z
UID:7832-1793318400-1793404799@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending March 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-march-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261030
DTEND;VALUE=DATE:20261031
DTSTAMP:20260622T182608
CREATED:20260603T194719Z
LAST-MODIFIED:20260603T194719Z
UID:7881-1793318400-1793404799@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending August 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-august-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
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