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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260407T133015
CREATED:20250117T181137Z
LAST-MODIFIED:20250117T181137Z
UID:7162-1751241600-1751327999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 05/31/2025)
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-05-31-2025/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260407T133015
CREATED:20250121T153913Z
LAST-MODIFIED:20250121T153913Z
UID:7202-1751241600-1751327999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 4/30/2025)
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 regulator\, 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-4-30-2025/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260407T133015
CREATED:20250121T181317Z
LAST-MODIFIED:20250121T181317Z
UID:7251-1751241600-1751327999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending April 30\, 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-april-30-2025/
CATEGORIES:Regulatory Financial
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