LeGaye Law Firm

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2025)
2025-10-31
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.

SIPC 7 Assessment (Fiscal year ending August 31, 2025)
2025-10-30
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.

Annual Audit Filing Due Date (Period Ending 8/31/2025)
2025-10-30
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 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).

Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2025)
2025-10-29
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.

FINRA Cyber Crimes Conference – Hybrid Event
2025-10-28 | Santa Monica, CA
A one-day, hybrid event that will focus on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.

SILA – National Education Conference
2025-10-26 - 2025-10-29 | New Orleans, LA
The Securities and Insurance Licensing Association (“SILA”) National Education Conference is a yearly event that provides education and networking opportunities for professionals in the insurance and securities licensing industries. The conference features industry speakers, interactive sessions, and an exhibitor fair.

NSCP National Conference
2025-10-26 - 2025-10-29 | Hyatt Regency Grand Cypress – Orlando, FL
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.

Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2025)
2025-10-24
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.

Quarterly Form Custody (Quarter ended 9/30/2025)
2025-10-24
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.

Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2025)
2025-10-24
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.

SIFMA – Annual Meeting
2025-10-20 - 2025-10-21 | Washington, DC
SIFMA’s 2025 Annual Meeting will take place from Monday, October 20 to Tuesday, October 21 at the Conrad Washington DC. This event gathers the most influential voices shaping the capital markets from a cross-section of public policy and finance to explore the issues and opportunities that matter most for the markets, the industry, and the economy. Our program will delve into the outlook for public policy & financial regulation, operational resilience, prudential & capital standards, the economy, the retail investor, and more.

Annual Firm Renewals - Submission of Post-Dated U5 and BR Termination Forms on CRD and or IARD
2025-10-13
Beginning 10/13/2025 Firms may begin to submit post-dated Forms U5 and BR Closing / Withdrawal, which must be dated December 31, 2025.

FINRA Small Firms Conference – Hybrid Event
2025-10-09 - 2025-10-10 | Dallas, TX
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.

SIPC 7 Assessment (Fiscal year ending July 31, 2025)
2025-09-29

SIPC 6 Assessment (Fiscal year ending February 28, 2025)
2025-09-29
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.

Annual Audit Filing Due Date (Period Ending 7/31/2025)
2025-09-29

Supplemental Inventory Schedule (SIS) Report (Month ended 8/31/2025)
2025-09-29

Monthly & Fifth' FOCUS IIA Filings (Month ending 8/31/25)
2025-09-24
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 within 17 business days after the end of the fiscal year.

Monthly Net Capital Computation (Month ending 8/31/2025)
2025-09-24
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.

SIPC 6 Assessment (Fiscal year ending January 31, 2025)
2025-09-02

FINRA Market Holiday - Labor Day
2025-09-01
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.

FINRA Market Early Close - Friday before Labor Day (1 p.m. ET, early close)
2025-08-29

SIPC 7 Assessment (Fiscal year ending June 30, 2025)
2025-08-29

Annual Audit Filing Due Date (Period Ending 6/30/2025)
2025-08-29

Supplemental Inventory Schedule (SIS) Report (Month ended 7/31/2025)
2025-08-28

Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/25)
2025-08-25

Monthly Net Capital Computation (Month ending 7/31/2025)
2025-08-25

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2025)
2025-07-31

SIPC 7 Assessment (Fiscal year ending May 31, 2025)
2025-07-30

Annual Audit Filing Due Date (Period Ending 5/31/2025)
2025-07-30
