LeGaye Law Firm

Monthly Net Capital Computation (Month ending 1/31/2024)
2024-02-26
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.

Monthly & Fifth' FOCUS IIA Filings (Month ending 1/31/24)
2024-02-26
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.

Supplemental Inventory Schedule (SIS) Report (Month ended 01/31/2024)
2024-02-29
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.

Annual Audit Filing Due Date (Period Ending 12/31/2023)
2024-02-29
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).

SIPC 7 Assessment (Fiscal year ending December 31, 2023)
2024-02-29
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.

NSCP Regulatory Interchange Webinar – SEC
2024-03-05 12:00 - 15:00 (America/New_York)

SIFMA – Quarterly Conference
2024-03-20 | New York, NY
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend a Quarterly Conference to learn about insurance industry issues such as cybersecurity, accounting, or tax reform as well as the global, federal and, state regulation of insurance companies.

NSCP Regulatory Interchange Webinar – NASAA
2024-03-21 13:00 - 14:30 (America/New_York)

Monthly Net Capital Computation (Month ending 2/29/2024)
2024-03-25

Monthly & Fifth' FOCUS IIA Filings (Month ending 2/29/24)
2024-03-25

Supplemental Inventory Schedule (SIS) Report (Month ended 02/29/2024)
2024-03-28

SIPC 7 Assessment (Fiscal year ending January 31, 2024)
2024-03-31

Annual Audit Filing Due Date (Period Ending 1/31/2024)
2024-04-01

MSRB Quarterly Form G-37 Disclosure Submission Period Opens
2024-04-01
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)(ijj) 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.

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2024)
2024-04-15
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.

NSCP Interactive Compliance Labs – West Coast
2024-04-18 09:00 - 17:30 (America/Los_Angeles) | The Pointe at California State University, 1250 Bellflower Blvd, Long Beach, CA, 90840, United States
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.

Monthly Net Capital Computation (Month ending 3/31/2024)
2024-04-23

Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2024)
2024-04-23
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.

Quarterly Form Custody (Quarter ended 3/31/2024)
2024-04-23
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

NSCP Interactive Compliance Labs – East Coast
2024-04-23 09:00 - 17:30 (America/Chicago) | Fordham University School of Law, 150 W. 62nd Street, New York, NY, 10023, United States

Supplemental Inventory Schedule (SIS) Report (Month ended 3/31/2024)
2024-04-26

Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2024)
2024-04-26
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.

Annual Audit Filing Due Date (Period Ending 2/29/2024)
2024-04-29

SIPC 7 Assessment (Fiscal year ending February 29, 2024)
2024-04-29

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 3/31/2024)
2024-04-30
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.

MSRB Quarterly Form G-37 Disclosure Submission Deadline
2024-04-30

Annual Municipal Adviser Professional Fees Due
2024-05-01
MSRB A-11 requires the payment of an Annual Municipal Advisor Professional Fee.

2024 FINRA Annual Conference
2024-05-14 - 2024-05-16 | Washington, D.C., Washington, DC, United States
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.

Monthly Net Capital Computation (Month ending 4/30/2024)
2024-05-23

Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/24)
2024-05-23
