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July 2020

Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 6/30/2020)

July 29, 2020

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.6 A firm with inventory positions consisting only of money market mutual…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2019)

July 29, 2020

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

July 30, 2020

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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Annual Audit Filing Due Date (Period Ending 5/31/2020)

July 30, 2020

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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Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2020)

July 31, 2020

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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MSRB Quarterly Form G-37 Disclosure Submission Deadline

July 31, 2020

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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August 2020

Monthly Net Capital Computation (Month ending 7/31/2020)

August 25, 2020

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 7/31/19)

August 25, 2020

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 7 Assessment (Fiscal year ending June 30, 2020)

August 29, 2020

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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Annual Audit Filing Due Date (Period Ending 6/30/2020)

August 31, 2020

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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September 2020

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

September 4, 2020

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 7, 2020

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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SIFMA – Annual Conference

September 20, 2020 @ 12:00 am - September 23, 2020 @ 12:00 am
The Borgata, 1 Borgata Way
Atlantic City, NJ 08401 United States
+ Google Map

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.

Find out more »

Monthly Net Capital Computation (Month ending 8/31/2020)

September 24, 2020

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 8/31/19)

September 24, 2020

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 7 Assessment (Fiscal year ending July 31, 2020)

September 29, 2020

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 »

Annual Audit Filing Due Date (Period Ending 7/31/2020)

September 29, 2020

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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October 2020

MSRB Quarterly Form G-37 Disclosure Submission Period Opens

October 1, 2020

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 (Q3 2020)

October 15, 2020

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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NSCP National Conference

October 19, 2020 @ 12:00 am - October 21, 2020 @ 12:00 am
Baltimore, MD

The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.

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Monthly Net Capital Computation (Month ending 9/30/2020)

October 26, 2020

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 9/30/2020)

October 26, 2020

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 9/30/2020)

October 26, 2020

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 9/30/2020)

October 29, 2020

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.6 A firm with inventory positions consisting only of money market mutual…

Find out more »

Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2020)

October 29, 2020

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 »

SIPC 7 Assessment (Fiscal year ending August 31, 2020)

October 30, 2020

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 »

Annual Audit Filing Due Date (Period Ending 8/31/2020)

October 30, 2020

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 Deadline

October 31, 2020

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 MSRB Registration Fees Due

October 31, 2020

As part of its initial registration and annually thereafter, based on the fiscal year of the Board, each broker, dealer, municipal securities dealer, and municipal advisor shall pay to the Board an annual registration fee of $1,000.  The annual registration fee shall be payable in the manner provided by the MSRB Registration Manual.  Subsequent to initial registration, the annual registration fee is due by October 31 each year.  For any broker, dealer, municipal securities dealer, or municipal advisor that registers…

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November 2020

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2020)

November 2, 2020

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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NSCP National Conference

November 8, 2020 @ 12:00 am - November 10, 2020 @ 12:00 am
Gaylord National Harbor Resort & Convention Center, 201 Waterfront Street
National Harbor, MD 20745 United States

The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.

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FINRA Small Firms Conference

November 11, 2020 @ 12:00 am - November 12, 2020 @ 12:00 am
Fairmont Miramar Hotel & Bungalows, 101 Wilshire Boulevard
Santa Monica, CA 90401
+ Google Map

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules

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Monthly Net Capital Computation (Month ending 10/31/2020)

November 25, 2020

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 10/31/19)

November 25, 2020

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 – Day before Thanksgiving Day (3 p.m. early close)

November 25, 2020

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 26, 2020

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 27, 2020

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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SIPC 7 Assessment (Fiscal year ending September 30, 2020)

November 29, 2020

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 »

Annual Audit Filing Due Date (Period Ending 9/30/2020)

November 30, 2020

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…

Find out more »

December 2020

MSRB Quarterly Form G-37 Disclosure Submission Period Opens

December 1, 2020

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 »

SIFMA – Quarterly Conference

December 17, 2020 @ 12:00 am
Grant Thornton, 757 Third Ave
New York City, NY 10017 United States
+ Google Map

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.

Find out more »

Monthly Net Capital Computation (Month ending 11/30/2020)

December 23, 2020

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 11/30/19)

December 23, 2020

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 – Christmas Eve (1 p.m. early close)

December 24, 2020

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 25, 2020

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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SIPC 7 Assessment (Fiscal year ending October 31, 2020)

December 30, 2020

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 »

Annual Audit Filing Due Date (Period Ending 10/31/2020)

December 30, 2020

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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FINRA Market Early Close – New Year’s Eve (3 p.m. early close)

December 31, 2020

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 Deadline

December 31, 2020

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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January 2021

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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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.

Find out more »

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 2020)

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 18

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 12/31/2020)

January 27

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 12/31/2020)

January 27

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 12/31/2020)

January 27

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 2020

January 27

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 2020

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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Monthly Net Capital Computation (Month ending 12/31/20)

January 27

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 12/31/2020)

January 27

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 12/31/2020)

January 27

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

Find out more »

Annual Schedule I Filing for 2020

January 27

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

Find out more »

Annual Firm Filing and Contact Reporting for 2020

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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SIPC 7 Assessment (Fiscal year ending November 30, 2020)

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 »

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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Annual Audit Filing Due Date (Period Ending 11/30/2020)

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 overnight carrier or through EDGAR not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit Report 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…

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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 2021

Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2020)

February 1

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.6 A firm with inventory positions consisting only of money market mutual…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2020)

February 1

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 »

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

February 1

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.6 A firm with inventory positions consisting only of money market mutual…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2020)

February 1

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 »

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2020)

February 3

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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Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2020)

February 3

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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FINRA Market Holiday – Presidents’ Day

February 15

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 1/31/2021)

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.

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/21)

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 2021

SIPC 7 Assessment (Fiscal year ending December 31, 2020)

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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Annual Audit Filing Due Date (Period Ending 12/31/2020)

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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Annual Audit Filing Due Date (Period Ending 12/31/2020)

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, 2020)

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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Monthly Net Capital Computation (Month ending 2/28/2021)

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 2/28/21)

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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April 2021

Annual Audit Filing Due Date (Period Ending 1/31/2021)

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

April 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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Monthly Net Capital Computation (Month ending 3/31/2021)

April 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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Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2021)

April 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.

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Quarterly Form Custody (Quarter ended 3/31/2021)

April 23

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 3/31/2021)

April 28

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.6 A firm with inventory positions consisting only of money market mutual…

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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2021)

April 29

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 2/28/2021)

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, 2021)

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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May 2021

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 3/31/2021)

May 3

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 4/30/2021)

May 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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Monthly & Fifth’ FOCUS IIA Filings (Month ending 4/30/21)

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

May 28

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 3/31/2021)

May 30

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 March 31, 2021)

May 30

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 Rule 4530/Customer Complaint Filing Due Dates (Q1 2021)

May 31

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 – Memorial Day

May 31

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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