Annual Schedule I Filing for 2026
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
6 events found.
Regulatory Financial
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Annual Audit Filing Due Date (Period Ending 11/30/2026)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 11/30/2026)
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Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
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. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
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Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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 … Continue reading Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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Annual Audit Filing Due Date (Period Ending 12/31/2026)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 12/31/2026)