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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART:20250309T080000
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DTSTART:20251102T070000
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DTSTART:20271107T070000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260423
DTEND;VALUE=DATE:20260424
DTSTAMP:20260619T173006
CREATED:20260602T211210Z
LAST-MODIFIED:20260602T211210Z
UID:7763-1776902400-1776988799@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 3/31/2026)
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-3-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260423
DTEND;VALUE=DATE:20260424
DTSTAMP:20260619T173006
CREATED:20260602T164647Z
LAST-MODIFIED:20260602T164647Z
UID:7677-1776902400-1776988799@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2026)
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-3-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20260422T090000
DTEND;TZID=America/Chicago:20260422T173000
DTSTAMP:20260619T173006
CREATED:20260604T161617Z
LAST-MODIFIED:20260604T161617Z
UID:8003-1776848400-1776879000@www.legayelaw.com
SUMMARY:NSCP Interactive Compliance Labs – New York
DESCRIPTION:NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators\, engage in small group discussions\, and share their thoughts and experiences through the use of case studies\, group questions and hypothetical scenarios applicable to each session’s topic.
URL:https://www.legayelaw.com/calendar/nscp-interactive-compliance-labs-new-york/
LOCATION:Troutman Pepper Locke\, 875 3rd Ave\, New York\, NY\, 10022\, United States
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260415
DTEND;VALUE=DATE:20260416
DTSTAMP:20260619T173006
CREATED:20260604T171627Z
LAST-MODIFIED:20260604T171627Z
UID:8029-1776211200-1776297599@www.legayelaw.com
SUMMARY:FINRA Enhances New Member Application (Form NMA)
DESCRIPTION:
URL:https://www.legayelaw.com/calendar/finra-enhances-new-member-application-form-nma/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260415
DTEND;VALUE=DATE:20260416
DTSTAMP:20260619T173006
CREATED:20260603T195533Z
LAST-MODIFIED:20260603T195533Z
UID:7899-1776211200-1776297599@www.legayelaw.com
SUMMARY:FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2026)
DESCRIPTION:In accordance with FINRA Rule 4530(d)\, each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph\, “customer” includes any person other than a broker or dealer with whom the member has engaged. or has sought to engage\, in securities activities\, and “complaint” includes any written grievance by a customer involving the member or person associated with a member.
URL:https://www.legayelaw.com/calendar/finra-rule-4530-customer-complaint-filing-due-dates-q1-2026/
CATEGORIES:Customer Complaints
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260402
DTEND;VALUE=DATE:20260403
DTSTAMP:20260619T173006
CREATED:20260603T195947Z
LAST-MODIFIED:20260603T195947Z
UID:7911-1775088000-1775174399@www.legayelaw.com
SUMMARY:FINRA Annual Assessment Invoice Due
DESCRIPTION:FINRA member firms are assessed annual fees for membership\, registered personnel\, branch offices and gross income (as reported on their Focus Reports). The assessment fees are based on the number of registrants or offices for the firm. Assessment fees for securities related transactions are determined from the information provided by each member in their Focus filings. FINRA performs the annual assessment process for membership and gross income based on its fiscal year\, which begins on January 1st and concludes on December 31st of each year. FINRA member firms are invoiced in April of each year.
URL:https://www.legayelaw.com/calendar/finra-annual-assessment-invoice-due/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260402
DTEND;VALUE=DATE:20260403
DTSTAMP:20260619T173006
CREATED:20250121T174019Z
LAST-MODIFIED:20250121T174019Z
UID:7234-1775088000-1775174399@www.legayelaw.com
SUMMARY:SIPC 6 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\, 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-august-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260401
DTEND;VALUE=DATE:20260402
DTSTAMP:20260619T173006
CREATED:20260603T205048Z
LAST-MODIFIED:20260603T205048Z
UID:7978-1775001600-1775087999@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Period Opens
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer shall\, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth\, in the prescribed format\, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer\, in total\, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party\, in total\, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter\, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter; (B) a list of issuers with which the broker\, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter\, listed by state\, along with the type of municipal securities business; (C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph (e)(iii) of the Rule; (D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule\, and the date of such automatic exemption.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-period-opens/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260401
DTEND;VALUE=DATE:20260402
DTSTAMP:20260619T173006
CREATED:20260603T194037Z
LAST-MODIFIED:20260603T194037Z
UID:7860-1775001600-1775087999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending January 31\, 2026)
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-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260401
DTEND;VALUE=DATE:20260402
DTSTAMP:20260619T173006
CREATED:20260602T213057Z
LAST-MODIFIED:20260602T213057Z
UID:7790-1775001600-1775087999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 1/31/2026)
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-1-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260330
DTEND;VALUE=DATE:20260331
DTSTAMP:20260619T173006
CREATED:20260604T171556Z
LAST-MODIFIED:20260604T171556Z
UID:8027-1774828800-1774915199@www.legayelaw.com
SUMMARY:FINRA Adopts Amendments to Rule 3220 (Influencing or Rewarding Employees of Others)
DESCRIPTION:
URL:https://www.legayelaw.com/calendar/finra-adopts-amendments-to-rule-3220-influencing-or-rewarding-employees-of-others/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260327
DTEND;VALUE=DATE:20260328
DTSTAMP:20260619T173006
CREATED:20260602T203553Z
LAST-MODIFIED:20260602T203553Z
UID:7730-1774569600-1774655999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 02/28/2026)
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-02-28-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260325
DTEND;VALUE=DATE:20260326
DTSTAMP:20260619T173006
CREATED:20260604T171520Z
LAST-MODIFIED:20260604T171520Z
UID:8025-1774396800-1774483199@www.legayelaw.com
SUMMARY:FINRA Adopts Amendments to the Capital Acquisition Broker Rules
DESCRIPTION:
URL:https://www.legayelaw.com/calendar/finra-adopts-amendments-to-the-capital-acquisition-broker-rules/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260324
DTEND;VALUE=DATE:20260325
DTSTAMP:20260619T173006
CREATED:20260602T165508Z
LAST-MODIFIED:20260602T165508Z
UID:7692-1774310400-1774396799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 2/28/26)
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-2-28-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260324
DTEND;VALUE=DATE:20260325
DTSTAMP:20260619T173006
CREATED:20260602T163245Z
LAST-MODIFIED:20260602T163245Z
UID:7656-1774310400-1774396799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 2/28/2026)
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-2-28-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20260319T120000
DTEND;TZID=America/Chicago:20260319T143000
DTSTAMP:20260619T173006
CREATED:20260604T170313Z
LAST-MODIFIED:20260604T170313Z
UID:8012-1773921600-1773930600@www.legayelaw.com
SUMMARY:NSCP Regulatory Interchange Webinar – FINRA
DESCRIPTION:Virtual Event
URL:https://www.legayelaw.com/calendar/nscp-regulatory-interchange-webinar-finra/
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260302
DTEND;VALUE=DATE:20260303
DTSTAMP:20260619T173006
CREATED:20260602T203257Z
LAST-MODIFIED:20260602T203257Z
UID:7727-1772409600-1772495999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 01/31/2026)
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-01-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260302
DTEND;VALUE=DATE:20260303
DTSTAMP:20260619T173006
CREATED:20250121T185458Z
LAST-MODIFIED:20250121T185458Z
UID:7267-1772409600-1772495999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending December 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-december-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260302
DTEND;VALUE=DATE:20260303
DTSTAMP:20260619T173006
CREATED:20250121T173902Z
LAST-MODIFIED:20250121T173902Z
UID:7232-1772409600-1772495999@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending July 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-july-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260302
DTEND;VALUE=DATE:20260303
DTSTAMP:20260619T173006
CREATED:20250121T170347Z
LAST-MODIFIED:20250121T170347Z
UID:7218-1772409600-1772495999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260225
DTEND;VALUE=DATE:20260226
DTSTAMP:20260619T173006
CREATED:20260602T165242Z
LAST-MODIFIED:20260602T165242Z
UID:7689-1771977600-1772063999@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 1/31/26)
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-1-31-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260225
DTEND;VALUE=DATE:20260226
DTSTAMP:20260619T173006
CREATED:20260602T162947Z
LAST-MODIFIED:20260602T162947Z
UID:7653-1771977600-1772063999@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 1/31/2026)
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-1-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260216
DTEND;VALUE=DATE:20260217
DTSTAMP:20260619T173006
CREATED:20260603T200614Z
LAST-MODIFIED:20260603T200614Z
UID:7919-1771200000-1771286399@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/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20260213T130000
DTEND;TZID=America/Chicago:20260213T170000
DTSTAMP:20260619T173006
CREATED:20260603T200531Z
LAST-MODIFIED:20260603T203158Z
UID:7917-1770987600-1771002000@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-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260203
DTEND;VALUE=DATE:20260204
DTSTAMP:20260619T173006
CREATED:20260602T193931Z
LAST-MODIFIED:20260602T193931Z
UID:7713-1770076800-1770163199@www.legayelaw.com
SUMMARY:Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2025)
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-derivatives-other-off-balance-sheet-items-form-obs-quarter-ended-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260203
DTEND;VALUE=DATE:20260204
DTSTAMP:20260619T173006
CREATED:20250117T180312Z
LAST-MODIFIED:20250117T180312Z
UID:7152-1770076800-1770163199@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260131
DTEND;VALUE=DATE:20260201
DTSTAMP:20260619T173006
CREATED:20260603T204911Z
LAST-MODIFIED:20260603T204911Z
UID:7976-1769817600-1769903999@www.legayelaw.com
SUMMARY:MSRB Rule A-11 Annual Municipal Advisor Professional Fee Assessed
DESCRIPTION:MSRB A-11 requires the payment of an Annual Municipal Advisor Professional Fee.
URL:https://www.legayelaw.com/calendar/msrb-rule-a-11-annual-municipal-advisor-professional-fee-assessed/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260131
DTEND;VALUE=DATE:20260201
DTSTAMP:20260619T173006
CREATED:20260603T204442Z
LAST-MODIFIED:20260603T204442Z
UID:7974-1769817600-1769903999@www.legayelaw.com
SUMMARY:MSRB Last Day of Form A-12 Annual Affirmation Period
DESCRIPTION:Each January\, MSRB registrants (municipal securities dealers and municipal advisors) must verify and\, if necessary\, update the MSRB registration information provided in Form A-12. MSRB Rule A-12 requires that the affirmation be completed within 17 business days of the beginning of the calendar year. The MSRB uses information provided in Form A-12\, in part\, to communicate important information to registrants. A firm’s Primary Contact\, Optional Contact or Compliance Contact can make affirmations. If no updates to Form A-12 are required\, the appropriate individual can affirm the information by submitting the Form A-12 with no changes. If changes are required\, the appropriate individual should make the necessary updates and submit an amended Form A-12.
URL:https://www.legayelaw.com/calendar/msrb-last-day-of-form-a-12-annual-affirmation-period/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260131
DTEND;VALUE=DATE:20260201
DTSTAMP:20260619T173006
CREATED:20260603T204311Z
LAST-MODIFIED:20260603T204311Z
UID:7972-1769817600-1769903999@www.legayelaw.com
SUMMARY:MSRB Last Day to File Form G-37 for Quarter Ending Dec 31st
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer shall\, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth\, in the prescribed format\, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer\, in total\, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party\, in total\, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter\, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter; (B) a list of issuers with which the broker\, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter\, listed by state\, along with the type of municipal securities business; (C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph (e)(iii) of the Rule; (D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule\, and the date of such automatic exemption.
URL:https://www.legayelaw.com/calendar/msrb-last-day-to-file-form-g-37-for-quarter-ending-dec-31st/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260130
DTEND;VALUE=DATE:20260131
DTSTAMP:20260619T173006
CREATED:20250117T185142Z
LAST-MODIFIED:20260602T211847Z
UID:7192-1769731200-1769817599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2025)
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-12-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR