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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20240929
DTEND;VALUE=DATE:20240930
DTSTAMP:20240301T165938Z
CREATED:20240301T165938Z
LAST-MODIFIED:20240301T165938Z
UID:7029-1727568000-1727654399@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending July 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-july-31-2024/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20240925
DTEND;VALUE=DATE:20240926
DTSTAMP:20240214T194943Z
CREATED:20240214T194943Z
LAST-MODIFIED:20240214T194943Z
UID:6955-1727222400-1727308799@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/24)
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-8-31-24/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20240925
DTEND;VALUE=DATE:20240926
DTSTAMP:20240214T192938Z
CREATED:20240214T192938Z
LAST-MODIFIED:20240214T192938Z
UID:6942-1727222400-1727308799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 8/31/2024)
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-8-31-2024/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20240908
DTEND;VALUE=DATE:20240912
DTSTAMP:20240214T192001Z
CREATED:20240214T192001Z
LAST-MODIFIED:20240214T192001Z
UID:6937-1725753600-1726099199@www.legayelaw.com
SUMMARY:SIFMA – Annual Conference
DESCRIPTION: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 Exhibit Hall\, Diversity\, Equity & Inclusion events\, and more. \nOur Planning Committee has mapped out more than 50 in-depth breakout sessions on the industry’s hottest topics in six tracks: \n\nBanking\nEthics & DEI\nCapital Markets\nLitigation\, Enforcement & Legal\nCompliance & Technology\nRetail\, Private Client & Arbitration\n\n  \nSIFMA 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-annual-conference-4/
LOCATION:Atlantic City\, NJ\, Atlantic City\, NJ\, United States
CATEGORIES:Conferences
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