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X-WR-CALDESC:Events for LeGaye Law Firm
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BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
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DTSTART:20240310T080000
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DTSTART:20241103T070000
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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:20250618
DTEND;VALUE=DATE:20250619
DTSTAMP:20260412T170637
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:20250619
DTEND;VALUE=DATE:20250620
DTSTAMP:20260412T170637
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:20250625
DTEND;VALUE=DATE:20250626
DTSTAMP:20260412T170637
CREATED:20250117T161724Z
LAST-MODIFIED:20250121T223903Z
UID:7109-1750809600-1750895999@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 5/31/2025)
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-6-25-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250625
DTEND;VALUE=DATE:20250626
DTSTAMP:20260412T170637
CREATED:20250117T172129Z
LAST-MODIFIED:20250117T172142Z
UID:7134-1750809600-1750895999@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 5/31/25)
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-5-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260412T170637
CREATED:20250117T181137Z
LAST-MODIFIED:20250117T181137Z
UID:7162-1751241600-1751327999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 05/31/2025)
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-05-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260412T170637
CREATED:20250121T153913Z
LAST-MODIFIED:20250121T153913Z
UID:7202-1751241600-1751327999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 4/30/2025)
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 regulator\, 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-4-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250630
DTEND;VALUE=DATE:20250701
DTSTAMP:20260412T170637
CREATED:20250121T181317Z
LAST-MODIFIED:20250121T181317Z
UID:7251-1751241600-1751327999@www.legayelaw.com
SUMMARY:SIPC 7 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. 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-april-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250703
DTEND;VALUE=DATE:20250704
DTSTAMP:20260412T170637
CREATED:20250121T190856Z
LAST-MODIFIED:20250121T224549Z
UID:7281-1751500800-1751587199@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day before Independence 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-independence-day-1-p-m-early-close-7/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250704
DTEND;VALUE=DATE:20250705
DTSTAMP:20260412T170637
CREATED:20250121T190948Z
LAST-MODIFIED:20250121T190948Z
UID:7283-1751587200-1751673599@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Independence 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-independence-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250724
DTEND;VALUE=DATE:20250725
DTSTAMP:20260412T170637
CREATED:20250117T170527Z
LAST-MODIFIED:20250117T170527Z
UID:7121-1753315200-1753401599@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250724
DTEND;VALUE=DATE:20250725
DTSTAMP:20260412T170637
CREATED:20250117T182820Z
LAST-MODIFIED:20250117T182820Z
UID:7180-1753315200-1753401599@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250729
DTEND;VALUE=DATE:20250730
DTSTAMP:20260412T170637
CREATED:20250117T181255Z
LAST-MODIFIED:20250117T181255Z
UID:7164-1753747200-1753833599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250729
DTEND;VALUE=DATE:20250730
DTSTAMP:20260412T170637
CREATED:20250117T184927Z
LAST-MODIFIED:20250117T184927Z
UID:7188-1753747200-1753833599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250730
DTEND;VALUE=DATE:20250731
DTSTAMP:20260412T170637
CREATED:20250121T154029Z
LAST-MODIFIED:20250121T154029Z
UID:7204-1753833600-1753919999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 5/31/2025)
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-5-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250730
DTEND;VALUE=DATE:20250731
DTSTAMP:20260412T170637
CREATED:20250121T181435Z
LAST-MODIFIED:20250121T181435Z
UID:7253-1753833600-1753919999@www.legayelaw.com
SUMMARY:SIPC 7 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. 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-may-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250731
DTEND;VALUE=DATE:20250801
DTSTAMP:20260412T170637
CREATED:20250117T175916Z
LAST-MODIFIED:20250117T175916Z
UID:7148-1753920000-1754006399@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250825
DTEND;VALUE=DATE:20250826
DTSTAMP:20260412T170637
CREATED:20250117T161934Z
LAST-MODIFIED:20250117T161934Z
UID:7111-1756080000-1756166399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 7/31/2025)
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-7-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250825
DTEND;VALUE=DATE:20250826
DTSTAMP:20260412T170637
CREATED:20250117T172343Z
LAST-MODIFIED:20250117T172343Z
UID:7137-1756080000-1756166399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/25)
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-7-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250828
DTEND;VALUE=DATE:20250829
DTSTAMP:20260412T170637
CREATED:20250117T181625Z
LAST-MODIFIED:20250117T181625Z
UID:7166-1756339200-1756425599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 7/31/2025)
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-7-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250829
DTEND;VALUE=DATE:20250830
DTSTAMP:20260412T170637
CREATED:20250121T154849Z
LAST-MODIFIED:20250121T154849Z
UID:7206-1756425600-1756511999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 6/30/2025)
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-6-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250829
DTEND;VALUE=DATE:20250830
DTSTAMP:20260412T170637
CREATED:20250121T181624Z
LAST-MODIFIED:20250121T181624Z
UID:7255-1756425600-1756511999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending June 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-june-30-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250829
DTEND;VALUE=DATE:20250830
DTSTAMP:20260412T170637
CREATED:20250121T191105Z
LAST-MODIFIED:20250121T224618Z
UID:7285-1756425600-1756511999@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Friday before Labor 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-labor-day-1-p-m-early-close-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250901
DTEND;VALUE=DATE:20250902
DTSTAMP:20260412T170637
CREATED:20250121T191159Z
LAST-MODIFIED:20250121T191159Z
UID:7287-1756684800-1756771199@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Labor 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-labor-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250902
DTEND;VALUE=DATE:20250903
DTSTAMP:20260412T170637
CREATED:20250121T170807Z
LAST-MODIFIED:20250121T170807Z
UID:7220-1756771200-1756857599@www.legayelaw.com
SUMMARY:SIPC 6 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\, 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-january-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250924
DTEND;VALUE=DATE:20250925
DTSTAMP:20260412T170637
CREATED:20250117T162121Z
LAST-MODIFIED:20250117T162121Z
UID:7113-1758672000-1758758399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 8/31/2025)
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-8-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250924
DTEND;VALUE=DATE:20250925
DTSTAMP:20260412T170637
CREATED:20250117T172601Z
LAST-MODIFIED:20250117T172601Z
UID:7139-1758672000-1758758399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/25)
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-8-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250929
DTEND;VALUE=DATE:20250930
DTSTAMP:20260412T170637
CREATED:20250117T181753Z
LAST-MODIFIED:20250117T181753Z
UID:7168-1759104000-1759190399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 8/31/2025)
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-8-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250929
DTEND;VALUE=DATE:20250930
DTSTAMP:20260412T170637
CREATED:20250121T163654Z
LAST-MODIFIED:20250121T163654Z
UID:7208-1759104000-1759190399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 7/31/2025)
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-7-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250929
DTEND;VALUE=DATE:20250930
DTSTAMP:20260412T170637
CREATED:20250121T171037Z
LAST-MODIFIED:20250121T171037Z
UID:7222-1759104000-1759190399@www.legayelaw.com
SUMMARY:SIPC 6 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\, 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-february-28-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250929
DTEND;VALUE=DATE:20250930
DTSTAMP:20260412T170637
CREATED:20250121T182817Z
LAST-MODIFIED:20250121T182817Z
UID:7257-1759104000-1759190399@www.legayelaw.com
SUMMARY:SIPC 7 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. 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-july-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR