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X-WR-CALDESC:Events for LeGaye Law Firm
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BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20240310T080000
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TZOFFSETTO:-0600
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DTSTART:20241103T070000
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
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DTSTART:20250309T080000
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TZOFFSETFROM:-0500
TZOFFSETTO:-0600
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DTSTART:20251102T070000
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20260308T080000
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TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20261101T070000
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TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20270314T080000
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TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20271107T070000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260102
DTEND;VALUE=DATE:20260103
DTSTAMP:20260411T183455
CREATED:20250819T192629Z
LAST-MODIFIED:20250819T192629Z
UID:7452-1767312000-1767398399@www.legayelaw.com
SUMMARY:Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD
DESCRIPTION:Final Renewal Statements will be available online on either Web CRD or IARD. If you have a renewal overpayment. It will be automatically transferred to your daily account in conjunction with year-end renewal processing. Refund requests are made from this account.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-final-renewal-statement-availability-on-crd-or-iard-2/
CATEGORIES:Registration & Licensing
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260101
DTEND;VALUE=DATE:20260102
DTSTAMP:20260411T183455
CREATED:20250121T191745Z
LAST-MODIFIED:20250121T191745Z
UID:7301-1767225600-1767311999@www.legayelaw.com
SUMMARY:FINRA Market Holiday - New Year's 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-new-years-day-11/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251231
DTEND;VALUE=DATE:20260101
DTSTAMP:20260411T183455
CREATED:20250121T191703Z
LAST-MODIFIED:20250121T224727Z
UID:7299-1767139200-1767225599@www.legayelaw.com
SUMMARY:FINRA Market Early Close - New Year’s Eve (3 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-new-years-eve-3-p-m-early-close-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251231
DTEND;VALUE=DATE:20260101
DTSTAMP:20260411T183455
CREATED:20250121T173701Z
LAST-MODIFIED:20250121T173701Z
UID:7228-1767139200-1767225599@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending May 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\, 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-may-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251230
DTEND;VALUE=DATE:20251231
DTSTAMP:20260411T183455
CREATED:20250121T185308Z
LAST-MODIFIED:20250121T185308Z
UID:7263-1767052800-1767139199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending October 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-october-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251230
DTEND;VALUE=DATE:20251231
DTSTAMP:20260411T183455
CREATED:20250121T165401Z
LAST-MODIFIED:20250121T165401Z
UID:7214-1767052800-1767139199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 10/31/2025)
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-10-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251229
DTEND;VALUE=DATE:20251230
DTSTAMP:20260411T183455
CREATED:20250117T182129Z
LAST-MODIFIED:20250117T182129Z
UID:7174-1766966400-1767052799@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 11/30/2025)
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-11-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251226
DTEND;VALUE=DATE:20251227
DTSTAMP:20260411T183455
CREATED:20250819T192016Z
LAST-MODIFIED:20250819T192016Z
UID:7450-1766707200-1766793599@www.legayelaw.com
SUMMARY:Annual Firm Renewals – Deadline to Submit Form Filings on Web CRD or IARD
DESCRIPTION:Final form filings must be submitted by 6 PM EST via Web CRD or IARD\, and electronic funds transfers must be submitted by 3PM.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-deadline-to-submit-form-filings-on-web-crd-or-iard-2/
CATEGORIES:Registration & Licensing
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251225
DTEND;VALUE=DATE:20251226
DTSTAMP:20260411T183455
CREATED:20250121T191612Z
LAST-MODIFIED:20250121T191612Z
UID:7297-1766620800-1766707199@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Christmas 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-christmas-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251224
DTEND;VALUE=DATE:20251225
DTSTAMP:20260411T183455
CREATED:20250121T191519Z
LAST-MODIFIED:20250121T224713Z
UID:7295-1766534400-1766620799@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Christmas Eve (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-christmas-eve-1-p-m-early-close-7/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251223
DTEND;VALUE=DATE:20251224
DTSTAMP:20260411T183455
CREATED:20250117T172841Z
LAST-MODIFIED:20250117T172848Z
UID:7143-1766448000-1766534399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 11/30/25)
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-11-30-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251223
DTEND;VALUE=DATE:20251224
DTSTAMP:20260411T183455
CREATED:20250117T162652Z
LAST-MODIFIED:20250117T162652Z
UID:7117-1766448000-1766534399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 11/30/2025)
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-11-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251208
DTEND;VALUE=DATE:20251209
DTSTAMP:20260411T183455
CREATED:20250819T191256Z
LAST-MODIFIED:20250819T191256Z
UID:7448-1765152000-1765238399@www.legayelaw.com
SUMMARY:Annual Firm Renewals - Deadline on Payments for Preliminary Renewal Statements
DESCRIPTION:Deadline for receipt of Preliminary Statement payments. Firms with sufficient monies in their Flex-Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day going forward until Web CRD/IARD shuts down for year-end processing December 26. Failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 26\, may cause the firm to become ineligible to do business in the jurisdictions where it is registered\, effective January 1\, 2026. FINRA-registered firms will also be subject to a late fee if payment is not received by this deadline.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-deadline-on-payments-for-preliminary-renewal-statements-2/
CATEGORIES:Registration & Licensing
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251202
DTEND;VALUE=DATE:20251203
DTSTAMP:20260411T183455
CREATED:20250117T182017Z
LAST-MODIFIED:20250117T182017Z
UID:7172-1764633600-1764719999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 10/31/2025)
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-10-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251201
DTEND;VALUE=DATE:20251202
DTSTAMP:20260411T183455
CREATED:20250121T185213Z
LAST-MODIFIED:20250121T185213Z
UID:7261-1764547200-1764633599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending September 30\, 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-september-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251201
DTEND;VALUE=DATE:20251202
DTSTAMP:20260411T183455
CREATED:20250121T173604Z
LAST-MODIFIED:20250121T173604Z
UID:7226-1764547200-1764633599@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending April 30\, 2025)
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-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251201
DTEND;VALUE=DATE:20251202
DTSTAMP:20260411T183455
CREATED:20250121T165042Z
LAST-MODIFIED:20250121T165042Z
UID:7212-1764547200-1764633599@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 9/30/2025)
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-9-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251128
DTEND;VALUE=DATE:20251129
DTSTAMP:20260411T183455
CREATED:20250121T191430Z
LAST-MODIFIED:20250121T224652Z
UID:7293-1764288000-1764374399@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day after Thanksgiving (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-after-thanksgiving-1-p-m-early-close-7/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251127
DTEND;VALUE=DATE:20251128
DTSTAMP:20260411T183455
CREATED:20250121T191349Z
LAST-MODIFIED:20250121T191349Z
UID:7291-1764201600-1764287999@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Thanksgiving 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-thanksgiving-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T183455
CREATED:20250121T191304Z
LAST-MODIFIED:20250121T224634Z
UID:7289-1764115200-1764201599@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day before Thanksgiving 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-day-before-thanksgiving-day-1-p-m-early-close-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T183455
CREATED:20250117T172722Z
LAST-MODIFIED:20250117T172722Z
UID:7141-1764115200-1764201599@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/25)
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-10-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T183455
CREATED:20250117T162504Z
LAST-MODIFIED:20250117T162504Z
UID:7115-1764115200-1764201599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 10/31/2025)
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-10-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251118
DTEND;VALUE=DATE:20251120
DTSTAMP:20260411T183455
CREATED:20250819T185240Z
LAST-MODIFIED:20250819T185240Z
UID:7438-1763424000-1763596799@www.legayelaw.com
SUMMARY:FINRA Compliance Outreach Program for Municipal Advisors and Municipal Dealers – Virtual Event
DESCRIPTION:Co-hosted by the SEC\, MSRB and FINRA\, this year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors\, including conflicts of interest\, broker-dealer primary offering and pricing practices\, compliance concerns\, and other key municipal market topics.
URL:https://www.legayelaw.com/calendar/finra-compliance-outreach-program-for-municipal-advisors-and-municipal-dealers-virtual-event/
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251110
DTEND;VALUE=DATE:20251111
DTSTAMP:20260411T183455
CREATED:20250819T190744Z
LAST-MODIFIED:20250819T190744Z
UID:7446-1762732800-1762819199@www.legayelaw.com
SUMMARY:Annual Firm Renewals - Preliminary Renewal Statements available on Web CRD/IARD
DESCRIPTION:Beginning November 10\, 2025\, Preliminary Renewal Statements are available for viewing and printing through E-Bill on the CRD of IARD.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-preliminary-renewal-statements-available-on-web-crd-iard-2/
CATEGORIES:Registration & Licensing
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251103
DTEND;VALUE=DATE:20251104
DTSTAMP:20260411T183455
CREATED:20250819T190452Z
LAST-MODIFIED:20250819T190452Z
UID:7444-1762128000-1762214399@www.legayelaw.com
SUMMARY:Annual Firm Renewals - Submission of Post-Dated BDW and ADV-W Forms on CRD and or IARD
DESCRIPTION:Beginning 11/3/2025 Firms may begin to submit post-dated Forms BDW and ADV-W\, which must be dated December 31\, 2025.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-submission-of-post-dated-bdw-and-adv-w-forms-on-crd-and-or-iard-2/
CATEGORIES:Registration & Licensing
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251031
DTEND;VALUE=DATE:20251101
DTSTAMP:20260411T183455
CREATED:20250121T173305Z
LAST-MODIFIED:20250121T173305Z
UID:7224-1761868800-1761955199@www.legayelaw.com
SUMMARY:SIPC 6 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\, 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-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251031
DTEND;VALUE=DATE:20251101
DTSTAMP:20260411T183455
CREATED:20250117T180121Z
LAST-MODIFIED:20250117T180121Z
UID:7150-1761868800-1761955199@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2025)
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-9-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251030
DTEND;VALUE=DATE:20251031
DTSTAMP:20260411T183455
CREATED:20250121T185100Z
LAST-MODIFIED:20250121T185100Z
UID:7259-1761782400-1761868799@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending August 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-august-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251030
DTEND;VALUE=DATE:20251031
DTSTAMP:20260411T183455
CREATED:20250121T164802Z
LAST-MODIFIED:20250121T164802Z
UID:7210-1761782400-1761868799@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 8/31/2025)
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-8-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251029
DTEND;VALUE=DATE:20251030
DTSTAMP:20260411T183455
CREATED:20250117T181855Z
LAST-MODIFIED:20250117T181855Z
UID:7170-1761696000-1761782399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2025)
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-9-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR