LeGaye Law Firm - Financial & Regulatory Compliance
Tel: 281.367.2454
Skip to content
  • Home
  • About
    • Mission Statement
    • Core Values
    • Directory
  • Practice Areas
    • Broker Dealer Counsel
      • FINRA Registration Services
      • Broker-Dealer Registration Services
      • Risk Assessments
      • Anti-Money Laundering
      • Written Policies
      • Financial Industry Contracts
      • Client Disclosure Documents
      • Regulatory Inquiries
      • Financial Services
      • Distribution and Due Diligence
      • Ongoing Compliance Services
    • Investment Adviser Counsel
      • RIA Registration
      • Risk Assessments
      • Regulatory Inquiries
      • Other Services
      • Contracts and Agreements
      • Written Policies
      • Client Disclosure Documents
    • Corporate Organization
  • Resources
    • Compliance Resources
    • August Compliance Calendar
    • Resource Forms and Documents
  • News/Commentary
    • Legal Alerts
    • Videos
    • Comment Letters
    • Presentations
    • White Papers
    • Press & Media
  • Contact Us
    • Email Us
    • Make a Payment
  • Tel: 281.367.2454
4 events found.

Regulatory Financial

  1. Events
  2. Regulatory Financial

Events

Events Search and Views Navigation

Event Views Navigation

  • List
  • Month
  • Day
Today
  • April 2027

  • Thu 29

    SIPC 6 Assessment (Fiscal year ending September 30, 2026)

    April 29, 2027

    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. … Continue reading SIPC 6 Assessment (Fiscal year ending September 30, 2026) →

  • May 2027

  • Mon 31

    SIPC 6 Assessment (Fiscal year ending October 31, 2026)

    May 31, 2027

    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. … Continue reading SIPC 6 Assessment (Fiscal year ending October 31, 2026) →

  • June 2027

  • Tue 29

    SIPC 6 Assessment (Fiscal year ending November 30, 2026)

    June 29, 2027

    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. … Continue reading SIPC 6 Assessment (Fiscal year ending November 30, 2026) →

  • July 2027

  • Fri 30

    SIPC 6 Assessment (Fiscal year ending December 31, 2026)

    July 30, 2027

    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. … Continue reading SIPC 6 Assessment (Fiscal year ending December 31, 2026) →

  • Previous Events
  • Today
  • Google Calendar
  • iCalendar
  • Outlook 365
  • Outlook Live
  • Export .ics file
  • Export Outlook .ics file
Copyright© 2026 The LeGaye Law Firm P.C.
  • Home
  • About Us
  • Mission Statement
  • Core Values
  • Directory
  • Practice Areas
  • Resources
  • Legal Alerts
  • White Papers
  • Comment Letters
  • Presentations
Not Board Certified by Texas Board of Legal Specialization
Disclosures  |   Due Diligence Package

Site by : MICRO-MAINFRAME & ProLinks Web Design & SEO