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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T230718
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
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T230718
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
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T230718
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
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250127
DTEND;VALUE=DATE:20250128
DTSTAMP:20260407T230718
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
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