BEGIN:VCALENDAR
VERSION:2.0
PRODID:-//LeGaye Law Firm - ECPv6.15.10//NONSGML v1.0//EN
CALSCALE:GREGORIAN
METHOD:PUBLISH
X-WR-CALNAME:LeGaye Law Firm
X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
REFRESH-INTERVAL;VALUE=DURATION:PT1H
X-Robots-Tag:noindex
X-PUBLISHED-TTL:PT1H
BEGIN:VTIMEZONE
TZID:America/Chicago
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20230312T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20231105T070000
END:STANDARD
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20240310T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20241103T070000
END:STANDARD
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20250309T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20251102T070000
END:STANDARD
END:VTIMEZONE
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240828
DTEND;VALUE=DATE:20240829
DTSTAMP:20260412T080330
CREATED:20240214T200038Z
LAST-MODIFIED:20240214T200038Z
UID:6965-1724803200-1724889599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 7/31/2024)
DESCRIPTION:The SIS must be filed by a firm that is required to file FOCUS Report Part II\, FOCUS Report Part IIA or FOGS Report Part I\, with inventory positions as of the end of the FOCUS or FOGS reporting period\, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100\,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-7-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240823
DTEND;VALUE=DATE:20240824
DTSTAMP:20260412T080330
CREATED:20240214T192228Z
LAST-MODIFIED:20240214T192228Z
UID:6940-1724371200-1724457599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 7/31/2024)
DESCRIPTION:In accordance with SEC Rule 15c3-1\, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.
URL:https://www.legayelaw.com/calendar/monthly-net-capital-computation-month-ending-7-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240823
DTEND;VALUE=DATE:20240824
DTSTAMP:20260412T080330
CREATED:20240213T201354Z
LAST-MODIFIED:20240213T201354Z
UID:6895-1724371200-1724457599@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/24)
DESCRIPTION:In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii)\, each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March\, June\, September\, or December. The Part IIA of Form X-17 A-5 should be filed within 17 business days after the end of the fiscal year.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-7-31-24/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240731
DTEND;VALUE=DATE:20240801
DTSTAMP:20260412T080330
CREATED:20240214T190154Z
LAST-MODIFIED:20240214T190154Z
UID:6925-1722384000-1722470399@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Deadline
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer shall\, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth\, in the prescribed format\, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer\, in total\, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party\, in total\, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter\, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter.(B) a list of issuers with which the broker\, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter\, listed by state\, along with the type of municipal securities business;(C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph I(ijj) of the Rule;(D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule\, and the date of such automatic exemption.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-deadline-19/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240731
DTEND;VALUE=DATE:20240801
DTSTAMP:20260412T080330
CREATED:20240213T201623Z
LAST-MODIFIED:20240213T201623Z
UID:6897-1722384000-1722470399@www.legayelaw.com
SUMMARY:Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2024)
DESCRIPTION:Unless subject to the de minimis exception\, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or carry customer accounts; and (2) all other FINRA member firms that have\, pursuant to SEA Rule 15c3-1\, a minimum dollar net capital requirement equal to or greater than $100\,000 and at least $10 million in reportable items pursuant to the Form OBS. Any firm that is required to file the Form OBS must do so as of the last day of a reporting period within 22 business days of the end of each calendar quarter by using the eFOCUS system.  A firm that claims the de minimis exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-schedule-of-derivatives-and-other-off-balance-sheet-items-form-obs-quarter-ended-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240730
DTEND;VALUE=DATE:20240731
DTSTAMP:20260412T080330
CREATED:20240223T181959Z
LAST-MODIFIED:20240223T181959Z
UID:7004-1722297600-1722383999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending May 31\, 2024)
DESCRIPTION:Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.
URL:https://www.legayelaw.com/calendar/sipc-7-assessment-fiscal-year-ending-may-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240730
DTEND;VALUE=DATE:20240731
DTSTAMP:20260412T080330
CREATED:20240213T202416Z
LAST-MODIFIED:20240214T182844Z
UID:6907-1722297600-1722383999@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 5/31/2024)
DESCRIPTION:SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators\, where required. To be a valid filing\, the Annual Audit must be physically received by FINRA\, the SEC and the state regulators by the due date. (Note: if the Annual Audit cannot be completed by the due date a request for extension to the Annual Audit due date must be made in writing to the FINRA District Office 3 business days prior to the due date).
URL:https://www.legayelaw.com/calendar/annual-audit-filing-due-date-period-ending-5-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240729
DTEND;VALUE=DATE:20240730
DTSTAMP:20260412T080330
CREATED:20240213T202236Z
LAST-MODIFIED:20240213T202236Z
UID:6905-1722211200-1722297599@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2024)
DESCRIPTION:FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses.
URL:https://www.legayelaw.com/calendar/quarterly-supplemental-statement-of-income-ssoi-quarter-ending-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240729
DTEND;VALUE=DATE:20240730
DTSTAMP:20260412T080330
CREATED:20240213T201912Z
LAST-MODIFIED:20240213T201912Z
UID:6901-1722211200-1722297599@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 6/30/2024)
DESCRIPTION:The SIS must be filed by a firm that is required to file FOCUS Report Part II\, FOCUS Report Part IIA or FOGS Report Part I\, with inventory positions as of the end of the FOCUS or FOGS reporting period\, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100\,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260412T080330
CREATED:20240213T202056Z
LAST-MODIFIED:20240213T202056Z
UID:6903-1721779200-1721865599@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 6/30/2024)
DESCRIPTION:A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
URL:https://www.legayelaw.com/calendar/quarterly-form-custody-quarter-ended-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260412T080330
CREATED:20240213T201207Z
LAST-MODIFIED:20240213T201207Z
UID:6893-1721779200-1721865599@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2024)
DESCRIPTION:In accordance with SEC Rule 17a-5(a)(2)(iii)\, each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.
URL:https://www.legayelaw.com/calendar/quarterly-focus-part-lla-filings-quarter-ending-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240724
DTEND;VALUE=DATE:20240725
DTSTAMP:20260412T080330
CREATED:20240213T200954Z
LAST-MODIFIED:20240213T200954Z
UID:6891-1721779200-1721865599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 6/30/2024)
DESCRIPTION:In accordance with SEC Rule 15c3-1\, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.
URL:https://www.legayelaw.com/calendar/monthly-net-capital-computation-month-ending-6-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240715
DTEND;VALUE=DATE:20240716
DTSTAMP:20260412T080330
CREATED:20240212T223622Z
LAST-MODIFIED:20240214T185234Z
UID:6849-1721001600-1721087999@www.legayelaw.com
SUMMARY:FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2024)
DESCRIPTION:In accordance with FINRA Rule 4530(d)\, each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph\, “customer” includes any person other than a broker or dealer with whom the member has engaged. or has sought to engage\, in securities activities\, and “complaint” includes any written grievance by a customer involving the member or person associated with a member.
URL:https://www.legayelaw.com/calendar/finra-rule-4530-customer-complaint-filing-due-dates-q2-2024/
CATEGORIES:Customer Complaints
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240704
DTEND;VALUE=DATE:20240705
DTSTAMP:20260412T080330
CREATED:20240209T220306Z
LAST-MODIFIED:20240209T220306Z
UID:6812-1720051200-1720137599@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Independence Day
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-independence-day-5/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240703
DTEND;VALUE=DATE:20240704
DTSTAMP:20260412T080330
CREATED:20240209T220158Z
LAST-MODIFIED:20240209T220158Z
UID:6810-1719964800-1720051199@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day before Independence Day (1 p.m. early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-day-before-independence-day-1-p-m-early-close-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260412T080330
CREATED:20240214T185459Z
LAST-MODIFIED:20240214T185459Z
UID:6923-1719792000-1719878399@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Period Opens
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer shall\, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth\, in the prescribed format\, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer\, in total\, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party\, in total\, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter\, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter.(B) a list of issuers with which the broker\, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter\, listed by state\, along with the type of municipal securities business;(C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph I(ijj) of the Rule;(D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule\, and the date of such automatic exemption.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-period-opens-20/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260412T080330
CREATED:20240213T201745Z
LAST-MODIFIED:20240213T201745Z
UID:6899-1719792000-1719878399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 05/31/2024)
DESCRIPTION:The SIS must be filed by a firm that is required to file FOCUS Report Part II\, FOCUS Report Part IIA or FOGS Report Part I\, with inventory positions as of the end of the FOCUS or FOGS reporting period\, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100\,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-05-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240701
DTEND;VALUE=DATE:20240702
DTSTAMP:20260412T080330
CREATED:20240212T222914Z
LAST-MODIFIED:20240212T222914Z
UID:6843-1719792000-1719878399@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 4/30/2024)
DESCRIPTION:SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulator\, where required. To be a valid filing\, the Annual Audit must be physically received by FINRA\, the SEC and the state regulators by the due date. (Note: if the Annual Audit cannot be completed by the due date a request for extension to the Annual Audit due date must be made in writing to the FINRA District Office 3 business days prior to the due date).
URL:https://www.legayelaw.com/calendar/annual-audit-filing-due-date-period-ending-4-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240629
DTEND;VALUE=DATE:20240630
DTSTAMP:20260412T080330
CREATED:20240223T181731Z
LAST-MODIFIED:20240223T181731Z
UID:7002-1719619200-1719705599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending April 30\, 2024)
DESCRIPTION:Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.
URL:https://www.legayelaw.com/calendar/sipc-7-assessment-fiscal-year-ending-april-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240626
DTEND;VALUE=DATE:20240627
DTSTAMP:20260412T080330
CREATED:20240213T200809Z
LAST-MODIFIED:20240213T200809Z
UID:6889-1719360000-1719446399@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 5/31/2024)
DESCRIPTION:In accordance with SEC Rule 15c3-1\, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.
URL:https://www.legayelaw.com/calendar/monthly-net-capital-computation-month-ending-5-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240626
DTEND;VALUE=DATE:20240627
DTSTAMP:20260412T080330
CREATED:20240212T232738Z
LAST-MODIFIED:20240212T232738Z
UID:6886-1719360000-1719446399@www.legayelaw.com
SUMMARY:SIFMA – Quarterly Conference
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sifma-quarterly-conference-6/
LOCATION:Paramus\, NJ\, Paramus\, NJ\, United States
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240626
DTEND;VALUE=DATE:20240627
DTSTAMP:20260412T080330
CREATED:20240209T211140Z
LAST-MODIFIED:20240209T211140Z
UID:6770-1719360000-1719446399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 5/31/24)
DESCRIPTION:In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii)\, each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March\, June\, September\, or December. The Part IIA of Form X-17 A-5 should be filed within 17 business days after the end of the fiscal year.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-5-31-24/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240619
DTEND;VALUE=DATE:20240620
DTSTAMP:20260412T080330
CREATED:20240209T220053Z
LAST-MODIFIED:20240209T220053Z
UID:6808-1718755200-1718841599@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Juneteenth
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-juneteenth-3/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240618
DTEND;VALUE=DATE:20240619
DTSTAMP:20260412T080330
CREATED:20240209T215941Z
LAST-MODIFIED:20240209T215941Z
UID:6806-1718668800-1718755199@www.legayelaw.com
SUMMARY:FINRA Market Early Close – Day before Juneteenth (1 p.m. early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-day-before-juneteenth-1-p-m-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240530
DTEND;VALUE=DATE:20240531
DTSTAMP:20260412T080330
CREATED:20240223T181622Z
LAST-MODIFIED:20240223T181622Z
UID:7000-1717027200-1717113599@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending March 31\, 2024)
DESCRIPTION:Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.
URL:https://www.legayelaw.com/calendar/sipc-7-assessment-fiscal-year-ending-march-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240530
DTEND;VALUE=DATE:20240531
DTSTAMP:20260412T080330
CREATED:20240212T222801Z
LAST-MODIFIED:20240212T222801Z
UID:6841-1717027200-1717113599@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 3/31/2024)
DESCRIPTION:SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be filed with the state regulators\, where required. To be a valid filing\, the Annual Audit must be physically received by FINRA\, the SEC and the state regulators by the due date. (Note: if the Annual Audit cannot be completed by the due date a request for extension to the Annual Audit due date must be made in writing to the FINRA District Office 3 business days prior to the due date).
URL:https://www.legayelaw.com/calendar/annual-audit-filing-due-date-period-ending-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240529
DTEND;VALUE=DATE:20240530
DTSTAMP:20260412T080330
CREATED:20240209T213958Z
LAST-MODIFIED:20240209T213958Z
UID:6784-1716940800-1717027199@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2024)
DESCRIPTION:The SIS must be filed by a firm that is required to file FOCUS Report Part II\, FOCUS Report Part IIA or FOGS Report Part I\, with inventory positions as of the end of the FOCUS or FOGS reporting period\, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100\,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-inventory-schedule-sis-report-month-ended-04-30-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240527
DTEND;VALUE=DATE:20240528
DTSTAMP:20260412T080330
CREATED:20240209T215836Z
LAST-MODIFIED:20240209T215836Z
UID:6804-1716768000-1716854399@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Memorial Day
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-memorial-day-5/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240524
DTEND;VALUE=DATE:20240525
DTSTAMP:20260412T080330
CREATED:20240209T215715Z
LAST-MODIFIED:20240209T215715Z
UID:6802-1716508800-1716595199@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Friday before Memorial Day (1 p.m. early close)
DESCRIPTION:FINRA operates Monday – Friday during regular business hours.  FINRA is closed whenever the markets are closed.  In addition\, FINRA and financial markets may close early the day before a holiday.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-friday-before-memorial-day-1-p-m-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240523
DTEND;VALUE=DATE:20240524
DTSTAMP:20260412T080330
CREATED:20240209T211014Z
LAST-MODIFIED:20240209T211014Z
UID:6768-1716422400-1716508799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/24)
DESCRIPTION:In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii)\, each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March\, June\, September\, or December. The Part IIA of Form X-17 A-5 should be filed within 17 business days after the end of the fiscal year.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-4-30-24/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR