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June 2021

Monthly & Fifth’ FOCUS IIA Filings (Month ending 5/31/21)

June 23, 2021

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…

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Annual Audit Filing Due Date (Period Ending 4/30/2021)

June 29, 2021

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…

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SIPC 7 Assessment (Fiscal year ending April 30, 2021)

June 29, 2021

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.

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July 2021

FINRA Market Early Close – Day before Independence Day (1 p.m. early close)

July 2, 2021

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.

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FINRA Market Holiday – Independence Day

July 5, 2021

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.

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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2021)

July 15, 2021

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…

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Monthly Net Capital Computation (Month ending 6/30/2021)

July 26, 2021

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.

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Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2021)

July 26, 2021

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.

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Quarterly Form Custody (Quarter ended 6/30/2021)

July 26, 2021

A broker-dealer  must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 6/30/2021)

July 29, 2021

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…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2021)

July 29, 2021

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.

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Annual Audit Filing Due Date (Period Ending 5/31/2021)

July 30, 2021

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…

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SIPC 6 Assessment (Fiscal year ending December 31, 2020)

July 30, 2021

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.

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SIPC 7 Assessment (Fiscal year ending May 31, 2021)

July 30, 2021

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.

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August 2021

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2021)

August 2, 2021

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.7 Any firm that is required to file the…

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Monthly Net Capital Computation (Month ending 7/31/2021)

August 24, 2021

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.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 7/31/21)

August 24, 2021

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…

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Annual Audit Filing Due Date (Period Ending 6/30/2021)

August 29, 2021

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…

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SIPC 7 Assessment (Fiscal year ending June 30, 2021)

August 29, 2021

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.

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SIPC 6 Assessment (Fiscal year ending January 31, 2021)

August 30, 2021

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.

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September 2021

FINRA Market Early Close – Friday before Labor Day (3 p.m. early close)

September 3, 2021

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.

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FINRA Market Holiday – Labor Day

September 6, 2021

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.

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Monthly Net Capital Computation (Month ending 8/31/2021)

September 24, 2021

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.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 8/31/21)

September 24, 2021

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…

Find out more »

Annual Audit Filing Due Date (Period Ending 7/31/2021)

September 29, 2021

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…

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SIPC 7 Assessment (Fiscal year ending July 31, 2021)

September 29, 2021

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.

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SIPC 6 Assessment (Fiscal year ending February 28, 2021)

September 30, 2021

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.

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October 2021

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2021)

October 15, 2021

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…

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Monthly Net Capital Computation (Month ending 9/30/2021)

October 25, 2021

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.

Find out more »

Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2021)

October 25, 2021

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.

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Quarterly Form Custody (Quarter ended 9/30/2021)

October 25, 2021

A broker-dealer  must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 9/30/2021)

October 28, 2021

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…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2021)

October 28, 2021

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.

Find out more »

Annual Audit Filing Due Date (Period Ending 8/31/2021)

October 30, 2021

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…

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SIPC 6 Assessment (Fiscal year ending March 31, 2021)

October 30, 2021

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.

Find out more »

SIPC 7 Assessment (Fiscal year ending August 31, 2021)

October 30, 2021

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.

Find out more »

November 2021

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2021)

November 1, 2021

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.7 Any firm that is required to file the…

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Monthly Net Capital Computation (Month ending 10/31/2021)

November 23, 2021

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.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/21)

November 23, 2021

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…

Find out more »

FINRA Market Early Close – Day before Thanksgiving Day (3 p.m. early close)

November 24, 2021

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.

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FINRA Market Holiday – Thanksgiving Day

November 25, 2021

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.

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FINRA Market Early Close – Day after Thanksgiving (1 p.m. early close)

November 26, 2021

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.

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Annual Audit Filing Due Date (Period Ending 9/30/2021)

November 29, 2021

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…

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SIPC 7 Assessment (Fiscal year ending September 30, 2021)

November 29, 2021

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.

Find out more »

SIPC 6 Assessment (Fiscal year ending April 30, 2021)

November 30, 2021

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.

Find out more »

December 2021

Monthly Net Capital Computation (Month ending 11/30/2021)

December 23, 2021

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.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/21)

December 23, 2021

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…

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FINRA Market Early Close – Christmas Eve (1 p.m. early close)

December 23, 2021

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.

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FINRA Market Holiday – Christmas Day

December 24, 2021

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.

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Annual Audit Filing Due Date (Period Ending 10/31/2021)

December 30, 2021

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…

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SIPC 6 Assessment (Fiscal year ending May 31, 2021)

December 30, 2021

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.

Find out more »

SIPC 7 Assessment (Fiscal year ending October 31, 2021)

December 30, 2021

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.

Find out more »

FINRA Market Early Close – New Year’s Eve (1 p.m. early close)

December 31, 2021

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.

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January 2022

FINRA Market Holiday – New Year’s Day

January 1

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.

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MSRB Quarterly Form G-37 Disclosure Submission Period Opens

January 1

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…

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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2021)

January 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…

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FINRA Market Holiday – Martin Luther King, Jr. Day

January 17

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.

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Monthly Net Capital Computation (Month ending 12/31/2021)

January 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.

Find out more »

Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2021)

January 26

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.

Find out more »

Quarterly Form Custody (Quarter ended 12/31/2021)

January 26

A broker-dealer  must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Annual Schedule I Filing for 2021

January 26

SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.

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Annual Firm Filing and Contact Reporting for 2021

January 26

FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic e-mail account for communication with FINRA and must update firm contact information. Firms must conduct a review and update its executive representative information through the…

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Annual MSRB Registration Information Update

January 26

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,…

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Annual Firm filing and Contact Reporting for 2021

January 27

FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic e-mail account for communication with FINRA and must update firm contact information. Firms must conduct a review and update its executive representative information through the…

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Annual Audit Filing Due Date (Period Ending 11/30/2021)

January 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…

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SIPC 7 Assessment (Fiscal year ending November 30, 2021)

January 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.

Find out more »

SIPC 6 Assessment (Fiscal year ending June 30, 2021)

January 30

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.

Find out more »

Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2021)

January 31

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…

Find out more »

Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2021)

January 31

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.

Find out more »

MSRB Quarterly Form G-37 Disclosure Submission Deadline

January 31

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…

Find out more »

February 2022

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2021)

February 2

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.7 Any firm that is required to file the…

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SIPC 7 Assessment (Fiscal year ending January 31, 2022)

February 2 @ 8:00 am - 5:00 pm

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.

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FINRA Market Holiday – Presidents’ Day

February 21

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.

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Monthly Net Capital Computation (Month ending 1/31/2022)

February 24

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.

Find out more »

Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/22)

February 24

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…

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March 2022

Annual Audit Filing Due Date (Period Ending 12/31/2021)

March 1

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…

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SIPC 7 Assessment (Fiscal year ending December 31, 2021)

March 1

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.

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SIPC 7 Assessment (Fiscal year ending December 31, 2021)

March 1

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.

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SIPC 6 Assessment (Fiscal year ending July 31, 2021)

March 2

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.

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SIFMA – Annual Conference

March 20 @ 8:00 am - March 23 @ 5:00 pm
Grand Lakes Orlando, FL

The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and Planning Committees. Past participants have had a front-row seat to hear Madeline Albright discuss negotiating tactics and diplomacy, SEC Chair Jay Clayton outline priorities for the Commission, FINRA President and CEO Robert Cook delve into examinations and many more - plus access to Lunch & Learns, networking sessions, an interactive…

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Monthly Net Capital Computation (Month ending 2/28/2022)

March 23

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.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 2/28/22)

March 23

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…

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SIPC 6 Assessment (Fiscal year ending August 31, 2021)

March 30

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.

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April 2022

Annual Audit Filing Due Date (Period Ending 1/31/2022)

April 1

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…

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MSRB Quarterly Form G-37 Disclosure Submission Period Opens

April 1

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…

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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2022)

April 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…

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Monthly Net Capital Computation (Month ending 3/31/2022)

April 25

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.

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Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2022)

April 25

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.

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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 3/31/2022)

April 25

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…

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Quarterly Form Custody (Quarter ended 3/31/2022)

April 25

A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 3/31/22)

April 25

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…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2022)

April 28

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.

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Annual Audit Filing Due Date (Period Ending 2/28/2022)

April 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…

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SIPC 7 Assessment (Fiscal year ending February 28, 2022)

April 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.

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SIPC 6 Assessment (Fiscal year ending September 30, 2021)

April 30

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.

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MSRB Quarterly Form G-37 Disclosure Submission Deadline

April 30

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…

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Annual Municipal Adviser Professional Fees Due

April 30

MSRB A-11 requires the payment of an Annual Municipal Advisor Professional Fee.

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May 2022

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 3/31/2022)

May 2

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.7 Any firm that is required to file the…

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Annual Schedule I Filing for 2023

May 12 @ 8:00 am - 5:00 pm

SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.

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Annual Audit Filing Due Date (Period Ending 9/30/2022)

May 13 @ 8:00 am - 5:00 pm

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…

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