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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20240310T080000
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TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20241103T070000
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
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DTSTART:20250309T080000
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TZOFFSETTO:-0600
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DTSTART:20251102T070000
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
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DTSTART:20260308T080000
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DTSTART:20261101T070000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250619
DTEND;VALUE=DATE:20250620
DTSTAMP:20260412T151411
CREATED:20250121T190809Z
LAST-MODIFIED:20250121T190809Z
UID:7279-1750291200-1750377599@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Juneteenth
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-juneteenth-4/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250618
DTEND;VALUE=DATE:20250619
DTSTAMP:20260412T151411
CREATED:20250121T190722Z
LAST-MODIFIED:20250121T224529Z
UID:7277-1750204800-1750291199@www.legayelaw.com
SUMMARY:FINRA Market Early Close – Day before Juneteenth (1 p.m. ET\, early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-day-before-juneteenth-1-p-m-early-close-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250530
DTEND;VALUE=DATE:20250531
DTSTAMP:20260412T151411
CREATED:20250121T180933Z
LAST-MODIFIED:20250121T180933Z
UID:7248-1748563200-1748649599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending March 31\, 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-march-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250530
DTEND;VALUE=DATE:20250531
DTSTAMP:20260412T151411
CREATED:20250121T153449Z
LAST-MODIFIED:20250121T153449Z
UID:7200-1748563200-1748649599@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 3/31/2025)
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 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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250529
DTEND;VALUE=DATE:20250530
DTSTAMP:20260412T151411
CREATED:20250117T181007Z
LAST-MODIFIED:20250117T181007Z
UID:7160-1748476800-1748563199@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2025)
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-04-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250526
DTEND;VALUE=DATE:20250527
DTSTAMP:20260412T151411
CREATED:20250121T190620Z
LAST-MODIFIED:20250121T190620Z
UID:7275-1748217600-1748303999@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Memorial Day
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-memorial-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250523
DTEND;VALUE=DATE:20250524
DTSTAMP:20260412T151411
CREATED:20250121T190529Z
LAST-MODIFIED:20250121T224507Z
UID:7273-1747958400-1748044799@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Friday before Memorial Day (1 p.m. ET\, early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-friday-before-memorial-day-1-p-m-early-close-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250523
DTEND;VALUE=DATE:20250524
DTSTAMP:20260412T151411
CREATED:20250117T171931Z
LAST-MODIFIED:20250117T171931Z
UID:7132-1747958400-1748044799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/25)
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-4-30-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250523
DTEND;VALUE=DATE:20250524
DTSTAMP:20260412T151411
CREATED:20250117T161457Z
LAST-MODIFIED:20250117T161457Z
UID:7107-1747958400-1748044799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 4/30/2025)
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-4-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250513
DTEND;VALUE=DATE:20250516
DTSTAMP:20260412T151411
CREATED:20250819T183356Z
LAST-MODIFIED:20250819T183356Z
UID:7430-1747094400-1747353599@www.legayelaw.com
SUMMARY:2025 FINRA Annual Conference
DESCRIPTION:The Annual Conference provides the opportunity for practitioners\, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance\, risk management\, crypto asset developments\, trends and threats in financial crimes and the evolution of branch office inspections\, among others.
URL:https://www.legayelaw.com/calendar/2025-finra-annual-conference/
LOCATION:Washington\, D.C.\, Washington\, DC\, United States
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250430
DTEND;VALUE=DATE:20250501
DTSTAMP:20260412T151411
CREATED:20250117T175527Z
LAST-MODIFIED:20250117T175527Z
UID:7146-1745971200-1746057599@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250429
DTEND;VALUE=DATE:20250430
DTSTAMP:20260412T151411
CREATED:20250121T180324Z
LAST-MODIFIED:20250121T181121Z
UID:7246-1745884800-1745971199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending February 28\, 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-february-28-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250429
DTEND;VALUE=DATE:20250430
DTSTAMP:20260412T151411
CREATED:20250121T153336Z
LAST-MODIFIED:20250121T153336Z
UID:7198-1745884800-1745971199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 2/28/2025)
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 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-2-28-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250428
DTEND;VALUE=DATE:20250429
DTSTAMP:20260412T151411
CREATED:20250117T184827Z
LAST-MODIFIED:20250117T184827Z
UID:7186-1745798400-1745884799@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250428
DTEND;VALUE=DATE:20250429
DTSTAMP:20260412T151411
CREATED:20250117T180832Z
LAST-MODIFIED:20250117T180832Z
UID:7158-1745798400-1745884799@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250423
DTEND;VALUE=DATE:20250424
DTSTAMP:20260412T151411
CREATED:20250117T182719Z
LAST-MODIFIED:20250117T182719Z
UID:7178-1745366400-1745452799@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250423
DTEND;VALUE=DATE:20250424
DTSTAMP:20260412T151411
CREATED:20250117T163311Z
LAST-MODIFIED:20250117T163311Z
UID:7119-1745366400-1745452799@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2025)
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-3-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250401
DTEND;VALUE=DATE:20250402
DTSTAMP:20260412T151411
CREATED:20250121T175828Z
LAST-MODIFIED:20250121T181103Z
UID:7244-1743465600-1743551999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending January 31\, 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-january-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250401
DTEND;VALUE=DATE:20250402
DTSTAMP:20260412T151411
CREATED:20250121T153204Z
LAST-MODIFIED:20250121T153204Z
UID:7196-1743465600-1743551999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 1/31/2025)
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 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-1-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250328
DTEND;VALUE=DATE:20250329
DTSTAMP:20260412T151411
CREATED:20250117T180727Z
LAST-MODIFIED:20250117T180727Z
UID:7156-1743120000-1743206399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 02/28/2025)
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-02-28-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250325
DTEND;VALUE=DATE:20250326
DTSTAMP:20260412T151411
CREATED:20250117T171705Z
LAST-MODIFIED:20250117T171705Z
UID:7130-1742860800-1742947199@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 2/28/25)
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-2-28-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250325
DTEND;VALUE=DATE:20250326
DTSTAMP:20260412T151411
CREATED:20250117T161159Z
LAST-MODIFIED:20250117T161159Z
UID:7105-1742860800-1742947199@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 2/28/2025)
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-2-28-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250303
DTEND;VALUE=DATE:20250304
DTSTAMP:20260412T151411
CREATED:20250117T180534Z
LAST-MODIFIED:20250117T180534Z
UID:7154-1740960000-1741046399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 01/31/2025)
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-01-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250303
DTEND;VALUE=DATE:20250304
DTSTAMP:20260412T151411
CREATED:20240214T202406Z
LAST-MODIFIED:20240214T202433Z
UID:6989-1740960000-1741046399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 12/31/2024)
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-12-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250301
DTEND;VALUE=DATE:20250302
DTSTAMP:20260412T151411
CREATED:20240301T170924Z
LAST-MODIFIED:20240301T170924Z
UID:7039-1740787200-1740873599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending December 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-december-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250226
DTEND;VALUE=DATE:20250227
DTSTAMP:20260412T151411
CREATED:20250117T171405Z
LAST-MODIFIED:20250117T171405Z
UID:7128-1740528000-1740614399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 1/31/25)
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-1-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250226
DTEND;VALUE=DATE:20250227
DTSTAMP:20260412T151411
CREATED:20250117T160649Z
LAST-MODIFIED:20250117T160649Z
UID:7103-1740528000-1740614399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 1/31/2025)
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-1-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250217
DTEND;VALUE=DATE:20250218
DTSTAMP:20260412T151411
CREATED:20250116T183009Z
LAST-MODIFIED:20250116T183009Z
UID:7099-1739750400-1739836799@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Presidents' Day
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-presidents-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250214
DTEND;VALUE=DATE:20250215
DTSTAMP:20260412T151411
CREATED:20250116T183205Z
LAST-MODIFIED:20250116T183205Z
UID:7101-1739491200-1739577599@www.legayelaw.com
SUMMARY:FINRA Market Holiday – Friday before Presidents' Day (1 p.m. ET\, early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-friday-before-presidents-day-1-p-m-et-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250203
DTEND;VALUE=DATE:20250204
DTSTAMP:20260412T151411
CREATED:20240214T195916Z
LAST-MODIFIED:20240214T195916Z
UID:6963-1738540800-1738627199@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2024)
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-12-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR