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DTSTART;VALUE=DATE:20241125
DTEND;VALUE=DATE:20241126
DTSTAMP:20260530T142824
CREATED:20240214T193427Z
LAST-MODIFIED:20240214T193427Z
UID:6946-1732492800-1732579199@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 10/31/2024)
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-10-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241031
DTEND;VALUE=DATE:20241101
DTSTAMP:20260530T142824
CREATED:20240214T195723Z
LAST-MODIFIED:20240214T195723Z
UID:6961-1730332800-1730419199@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2024)
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-of-derivatives-and-other-off-balance-sheet-items-form-obs-quarter-ended-9-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241030
DTEND;VALUE=DATE:20241031
DTSTAMP:20260530T142824
CREATED:20240301T170159Z
LAST-MODIFIED:20240301T170159Z
UID:7031-1730246400-1730332799@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending August 31\, 2024)
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-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241030
DTEND;VALUE=DATE:20241031
DTSTAMP:20260530T142824
CREATED:20240214T184254Z
LAST-MODIFIED:20240214T184254Z
UID:6915-1730246400-1730332799@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 8/31/2024)
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-8-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241029
DTEND;VALUE=DATE:20241030
DTSTAMP:20260530T142824
CREATED:20240214T201438Z
LAST-MODIFIED:20240214T201438Z
UID:6981-1730160000-1730246399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2024)
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-9-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241029
DTEND;VALUE=DATE:20241030
DTSTAMP:20260530T142824
CREATED:20240214T200411Z
LAST-MODIFIED:20240214T200411Z
UID:6969-1730160000-1730246399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2024)
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-9-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241024
DTEND;VALUE=DATE:20241025
DTSTAMP:20260530T142824
CREATED:20240214T201051Z
LAST-MODIFIED:20240214T201051Z
UID:6977-1729728000-1729814399@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 9/30/2024)
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-9-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241024
DTEND;VALUE=DATE:20241025
DTSTAMP:20260530T142824
CREATED:20240214T194437Z
LAST-MODIFIED:20240214T194437Z
UID:6951-1729728000-1729814399@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2024)
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-9-30-2024-2/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241023
DTEND;VALUE=DATE:20241024
DTSTAMP:20260530T142824
CREATED:20240214T193305Z
LAST-MODIFIED:20240214T193305Z
UID:6944-1729641600-1729727999@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 9/30/2024)
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-9-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240930
DTEND;VALUE=DATE:20241001
DTSTAMP:20260530T142824
CREATED:20240214T200228Z
LAST-MODIFIED:20240214T200228Z
UID:6967-1727654400-1727740799@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 8/31/2024)
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-8-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240930
DTEND;VALUE=DATE:20241001
DTSTAMP:20260530T142824
CREATED:20240214T184117Z
LAST-MODIFIED:20240214T184117Z
UID:6913-1727654400-1727740799@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 7/31/2024)
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-7-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240929
DTEND;VALUE=DATE:20240930
DTSTAMP:20260530T142824
CREATED:20240301T165938Z
LAST-MODIFIED:20240301T165938Z
UID:7029-1727568000-1727654399@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending July 31\, 2024)
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-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240925
DTEND;VALUE=DATE:20240926
DTSTAMP:20260530T142824
CREATED:20240214T194943Z
LAST-MODIFIED:20240214T194943Z
UID:6955-1727222400-1727308799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/24)
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-8-31-24/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240925
DTEND;VALUE=DATE:20240926
DTSTAMP:20260530T142824
CREATED:20240214T192938Z
LAST-MODIFIED:20240214T192938Z
UID:6942-1727222400-1727308799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 8/31/2024)
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-8-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240829
DTEND;VALUE=DATE:20240830
DTSTAMP:20260530T142824
CREATED:20240223T182658Z
LAST-MODIFIED:20240223T182658Z
UID:7006-1724889600-1724975999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending June 30\, 2024)
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-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240829
DTEND;VALUE=DATE:20240830
DTSTAMP:20260530T142824
CREATED:20240214T182645Z
LAST-MODIFIED:20240214T182920Z
UID:6909-1724889600-1724975999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240828
DTEND;VALUE=DATE:20240829
DTSTAMP:20260530T142824
CREATED:20240214T200038Z
LAST-MODIFIED:20240214T200038Z
UID:6965-1724803200-1724889599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 7/31/2024)
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-7-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240823
DTEND;VALUE=DATE:20240824
DTSTAMP:20260530T142824
CREATED:20240214T192228Z
LAST-MODIFIED:20240214T192228Z
UID:6940-1724371200-1724457599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 7/31/2024)
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-7-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240823
DTEND;VALUE=DATE:20240824
DTSTAMP:20260530T142824
CREATED:20240213T201354Z
LAST-MODIFIED:20240213T201354Z
UID:6895-1724371200-1724457599@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/24)
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-7-31-24/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240731
DTEND;VALUE=DATE:20240801
DTSTAMP:20260530T142824
CREATED:20240213T201623Z
LAST-MODIFIED:20240213T201623Z
UID:6897-1722384000-1722470399@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2024)
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-of-derivatives-and-other-off-balance-sheet-items-form-obs-quarter-ended-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240730
DTEND;VALUE=DATE:20240731
DTSTAMP:20260530T142824
CREATED:20240223T181959Z
LAST-MODIFIED:20240223T181959Z
UID:7004-1722297600-1722383999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending May 31\, 2024)
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-may-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240730
DTEND;VALUE=DATE:20240731
DTSTAMP:20260530T142824
CREATED:20240213T202416Z
LAST-MODIFIED:20240214T182844Z
UID:6907-1722297600-1722383999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 5/31/2024)
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-5-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240729
DTEND;VALUE=DATE:20240730
DTSTAMP:20260530T142824
CREATED:20240213T202236Z
LAST-MODIFIED:20240213T202236Z
UID:6905-1722211200-1722297599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240729
DTEND;VALUE=DATE:20240730
DTSTAMP:20260530T142824
CREATED:20240213T201912Z
LAST-MODIFIED:20240213T201912Z
UID:6901-1722211200-1722297599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260530T142824
CREATED:20240213T202056Z
LAST-MODIFIED:20240213T202056Z
UID:6903-1721779200-1721865599@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260530T142824
CREATED:20240213T201207Z
LAST-MODIFIED:20240213T201207Z
UID:6893-1721779200-1721865599@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260530T142824
CREATED:20240213T200954Z
LAST-MODIFIED:20240213T200954Z
UID:6891-1721779200-1721865599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 6/30/2024)
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-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260530T142824
CREATED:20240213T201745Z
LAST-MODIFIED:20240213T201745Z
UID:6899-1719792000-1719878399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 05/31/2024)
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-05-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260530T142824
CREATED:20240212T222914Z
LAST-MODIFIED:20240212T222914Z
UID:6843-1719792000-1719878399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 4/30/2024)
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-4-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240629
DTEND;VALUE=DATE:20240630
DTSTAMP:20260530T142824
CREATED:20240223T181731Z
LAST-MODIFIED:20240223T181731Z
UID:7002-1719619200-1719705599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending April 30\, 2024)
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-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR