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DTSTART;VALUE=DATE:20260825
DTEND;VALUE=DATE:20260826
DTSTAMP:20260602T163835Z
CREATED:20260602T163835Z
LAST-MODIFIED:20260602T163835Z
UID:7665-1787616000-1787702399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 7/31/2026)
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-7-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260825
DTEND;VALUE=DATE:20260826
DTSTAMP:20260602T174500Z
CREATED:20260602T174500Z
LAST-MODIFIED:20260602T174500Z
UID:7701-1787616000-1787702399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/26)
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-7-31-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260828
DTEND;VALUE=DATE:20260829
DTSTAMP:20260602T210332Z
CREATED:20260602T210332Z
LAST-MODIFIED:20260602T210332Z
UID:7745-1787875200-1787961599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 7/31/2026)
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-7-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260831
DTEND;VALUE=DATE:20260901
DTSTAMP:20260602T213543Z
CREATED:20260602T213543Z
LAST-MODIFIED:20260602T213543Z
UID:7805-1788134400-1788220799@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 6/30/2026)
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-6-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260831
DTEND;VALUE=DATE:20260901
DTSTAMP:20260603T153715Z
CREATED:20260603T153715Z
LAST-MODIFIED:20260603T153715Z
UID:7826-1788134400-1788220799@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending January 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-january-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260831
DTEND;VALUE=DATE:20260901
DTSTAMP:20260603T194546Z
CREATED:20260603T194546Z
LAST-MODIFIED:20260603T194546Z
UID:7875-1788134400-1788220799@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending June 30\, 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-june-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260924
DTEND;VALUE=DATE:20260925
DTSTAMP:20260602T164009Z
CREATED:20260602T164009Z
LAST-MODIFIED:20260602T164009Z
UID:7668-1790208000-1790294399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 8/31/2026)
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-8-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260924
DTEND;VALUE=DATE:20260925
DTSTAMP:20260602T174559Z
CREATED:20260602T174559Z
LAST-MODIFIED:20260602T174559Z
UID:7704-1790208000-1790294399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/26)
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-8-31-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260928
DTEND;VALUE=DATE:20260929
DTSTAMP:20260603T171810Z
CREATED:20260603T171810Z
LAST-MODIFIED:20260603T171810Z
UID:7829-1790553600-1790639999@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending February 28\, 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-february-28-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260929
DTEND;VALUE=DATE:20260930
DTSTAMP:20260602T210416Z
CREATED:20260602T210416Z
LAST-MODIFIED:20260602T210416Z
UID:7748-1790640000-1790726399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 8/31/2026)
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-8-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260929
DTEND;VALUE=DATE:20260930
DTSTAMP:20260602T213636Z
CREATED:20260602T213636Z
LAST-MODIFIED:20260602T213636Z
UID:7808-1790640000-1790726399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 7/31/2026)
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-7-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260929
DTEND;VALUE=DATE:20260930
DTSTAMP:20260603T194628Z
CREATED:20260603T194628Z
LAST-MODIFIED:20260603T194628Z
UID:7878-1790640000-1790726399@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending July 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-july-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261026
DTEND;VALUE=DATE:20261027
DTSTAMP:20260602T164903Z
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:20260602T211501Z
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:20260602T210517Z
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:20260602T212338Z
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:20260602T213731Z
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:20260603T171929Z
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:20260603T194719Z
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
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261102
DTEND;VALUE=DATE:20261103
DTSTAMP:20260602T202648Z
CREATED:20260602T202648Z
LAST-MODIFIED:20260602T202648Z
UID:7721-1793577600-1793663999@www.legayelaw.com
SUMMARY:Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2026)
DESCRIPTION:Unless subject to the de minimis exception\, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or carry customer accounts; and (2) all other FINRA member firms that have\, pursuant to SEA Rule 15c3-1\, a minimum dollar net capital requirement equal to or greater than $100\,000 and at least $10 million in reportable items pursuant to the Form OBS. Any firm that is required to file the Form OBS must do so as of the last day of a reporting period within 22 business days of the end of each calendar quarter by using the eFOCUS system.  A firm that claims the de minimis exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-schedule-derivatives-other-off-balance-sheet-items-form-obs-quarter-ended-9-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261125
DTEND;VALUE=DATE:20261126
DTSTAMP:20260602T164103Z
CREATED:20260602T164103Z
LAST-MODIFIED:20260602T164103Z
UID:7671-1795564800-1795651199@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 10/31/2026)
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-10-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261125
DTEND;VALUE=DATE:20261126
DTSTAMP:20260602T174645Z
CREATED:20260602T174645Z
LAST-MODIFIED:20260602T174645Z
UID:7707-1795564800-1795651199@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/26)
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-10-31-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261130
DTEND;VALUE=DATE:20261201
DTSTAMP:20260602T213815Z
CREATED:20260602T213815Z
LAST-MODIFIED:20260602T213815Z
UID:7814-1795996800-1796083199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 9/30/2026)
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-9-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261130
DTEND;VALUE=DATE:20261201
DTSTAMP:20260603T194801Z
CREATED:20260603T194801Z
LAST-MODIFIED:20260603T194801Z
UID:7884-1795996800-1796083199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending September 30\, 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-september-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261201
DTEND;VALUE=DATE:20261202
DTSTAMP:20260602T210603Z
CREATED:20260602T210603Z
LAST-MODIFIED:20260602T210603Z
UID:7754-1796083200-1796169599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 10/31/2026)
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-10-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261223
DTEND;VALUE=DATE:20261224
DTSTAMP:20260602T164130Z
CREATED:20260602T164130Z
LAST-MODIFIED:20260602T164130Z
UID:7674-1797984000-1798070399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 11/30/2026)
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-11-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261223
DTEND;VALUE=DATE:20261224
DTSTAMP:20260602T174732Z
CREATED:20260602T174732Z
LAST-MODIFIED:20260602T174732Z
UID:7710-1797984000-1798070399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 11/30/26)
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-11-30-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261229
DTEND;VALUE=DATE:20261230
DTSTAMP:20260602T210703Z
CREATED:20260602T210703Z
LAST-MODIFIED:20260602T210703Z
UID:7757-1798502400-1798588799@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 11/30/2026)
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-11-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260602T214136Z
CREATED:20260602T214136Z
LAST-MODIFIED:20260602T214136Z
UID:7817-1798588800-1798675199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 10/31/2026)
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-10-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260603T172808Z
CREATED:20260603T172229Z
LAST-MODIFIED:20260603T172808Z
UID:7835-1798588800-1798675199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending May 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-april-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR