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:20250309T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20251102T070000
END:STANDARD
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20260308T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20261101T070000
END:STANDARD
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20270314T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20271107T070000
END:STANDARD
BEGIN:DAYLIGHT
TZOFFSETFROM:-0600
TZOFFSETTO:-0500
TZNAME:CDT
DTSTART:20280312T080000
END:DAYLIGHT
BEGIN:STANDARD
TZOFFSETFROM:-0500
TZOFFSETTO:-0600
TZNAME:CST
DTSTART:20281105T070000
END:STANDARD
END:VTIMEZONE
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261223
DTEND;VALUE=DATE:20261224
DTSTAMP:20260619T173206
CREATED:20260602T174732Z
LAST-MODIFIED:20260602T174732Z
UID:7710-1797984000-1798070399@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 11/30/26)
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-11-30-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20261224T130000
DTEND;TZID=America/Chicago:20261224T170000
DTSTAMP:20260619T173206
CREATED:20260603T202515Z
LAST-MODIFIED:20260603T202515Z
UID:7956-1798117200-1798131600@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Christmas Eve (1 p.m. ET\, 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-christmas-eve-1-p-m-et-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261225
DTEND;VALUE=DATE:20261226
DTSTAMP:20260619T173206
CREATED:20260603T202551Z
LAST-MODIFIED:20260603T202551Z
UID:7959-1798156800-1798243199@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Christmas 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-christmas-day/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261229
DTEND;VALUE=DATE:20261230
DTSTAMP:20260619T173206
CREATED:20260602T210703Z
LAST-MODIFIED:20260602T210703Z
UID:7757-1798502400-1798588799@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 11/30/2026)
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-11-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T173206
CREATED:20260602T214136Z
LAST-MODIFIED:20260602T214136Z
UID:7817-1798588800-1798675199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 10/31/2026)
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-10-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T173206
CREATED:20260603T172229Z
LAST-MODIFIED:20260603T172808Z
UID:7835-1798588800-1798675199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending May 31\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-april-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T173206
CREATED:20260603T194840Z
LAST-MODIFIED:20260603T194840Z
UID:7887-1798588800-1798675199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending October 31\, 2026)
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-october-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260619T173206
CREATED:20260603T210404Z
LAST-MODIFIED:20260603T210404Z
UID:7994-1798588800-1798675199@www.legayelaw.com
SUMMARY:MSRB Annual Review and Testing of Supervisory Controls
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer to conduct a review\, at least annually\, of the municipal securities activities in which it engages\, which review shall be reasonably designed to assist in detecting and preventing violations of\, and achieving compliance with\, applicable securities laws and regulations\, and with applicable Board rules. Each dealer shall review the municipal securities activities of each office\, which shall include the periodic examination of customer accounts to detect and prevent irregularities or abuses.
URL:https://www.legayelaw.com/calendar/msrb-annual-review-and-testing-of-supervisory-controls/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260619T173206
CREATED:20260603T210538Z
LAST-MODIFIED:20260603T210538Z
UID:7996-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors to Complete Annual CEO Certification
DESCRIPTION:MSRB Rule G-44 requires each Chief Executive Officer(s) (or equivalent officer(s)) of the municipal advisor to certify in writing annually that the municipal advisor has in place processes to establish\, maintain\, review\, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable rules. This requirement\, however\, shall not apply to municipal advisors that are subject to a substantially similar certification requirement of Financial Industry Regulatory Authority with respect to all applicable rules.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-to-complete-annual-ceo-certification/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260619T173206
CREATED:20260603T210651Z
LAST-MODIFIED:20260603T210651Z
UID:7998-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors Continuing Education
DESCRIPTION:MSRB Rule G-3 requires municipal securities dealers and municipal advisors to establish continuing education program requirements.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-continuing-education/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20261231T140000
DTEND;TZID=America/Chicago:20261231T170000
DTSTAMP:20260619T173206
CREATED:20260603T202754Z
LAST-MODIFIED:20260603T202754Z
UID:7962-1798725600-1798736400@www.legayelaw.com
SUMMARY:FINRA Market Early Close - New Year’s Eve (3 p.m. ET\, 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-new-years-eve-3-p-m-et-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270101
DTEND;VALUE=DATE:20270102
DTSTAMP:20260619T173206
CREATED:20260603T202847Z
LAST-MODIFIED:20260603T202847Z
UID:7965-1798761600-1798847999@www.legayelaw.com
SUMMARY:FINRA Market Holiday - New Year's 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-new-years-day/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270115
DTEND;VALUE=DATE:20270116
DTSTAMP:20260619T173206
CREATED:20260603T195752Z
LAST-MODIFIED:20260603T195752Z
UID:7908-1799971200-1800057599@www.legayelaw.com
SUMMARY:FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2026)
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-q4-2026/
CATEGORIES:Customer Complaints
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270127
DTEND;VALUE=DATE:20270128
DTSTAMP:20260619T173206
CREATED:20260602T165000Z
LAST-MODIFIED:20260602T165000Z
UID:7686-1801008000-1801094399@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270127
DTEND;VALUE=DATE:20270128
DTSTAMP:20260619T173206
CREATED:20260602T211546Z
LAST-MODIFIED:20260602T211546Z
UID:7772-1801008000-1801094399@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270127
DTEND;VALUE=DATE:20270128
DTSTAMP:20260619T173206
CREATED:20260602T212732Z
LAST-MODIFIED:20260602T212732Z
UID:7787-1801008000-1801094399@www.legayelaw.com
SUMMARY:Annual Schedule I Filing for 2026
DESCRIPTION:SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
URL:https://www.legayelaw.com/calendar/annual-schedule-i-filing-for-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270127
DTEND;VALUE=DATE:20270128
DTSTAMP:20260619T173206
CREATED:20260603T195301Z
LAST-MODIFIED:20260603T195301Z
UID:7896-1801008000-1801094399@www.legayelaw.com
SUMMARY:Annual Firm Filing and Contact Reporting for 2026
DESCRIPTION: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 FCS System on an annual basis within 17 business days after the end of the calendar year.
URL:https://www.legayelaw.com/calendar/annual-firm-filing-and-contact-reporting-for-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270129
DTEND;VALUE=DATE:20270130
DTSTAMP:20260619T173206
CREATED:20260602T214347Z
LAST-MODIFIED:20260602T214347Z
UID:7820-1801180800-1801267199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 11/30/2026)
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-11-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270129
DTEND;VALUE=DATE:20270130
DTSTAMP:20260619T173206
CREATED:20260603T172920Z
LAST-MODIFIED:20260603T172920Z
UID:7839-1801180800-1801267199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending June 30\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-june-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270129
DTEND;VALUE=DATE:20270130
DTSTAMP:20260619T173206
CREATED:20260603T194933Z
LAST-MODIFIED:20260603T194933Z
UID:7890-1801180800-1801267199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending November 30\, 2026)
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-november-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270201
DTEND;VALUE=DATE:20270202
DTSTAMP:20260619T173206
CREATED:20260602T210959Z
LAST-MODIFIED:20260602T210959Z
UID:7760-1801440000-1801526399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270201
DTEND;VALUE=DATE:20270202
DTSTAMP:20260619T173206
CREATED:20260602T212437Z
LAST-MODIFIED:20260602T212437Z
UID:7784-1801440000-1801526399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270203
DTEND;VALUE=DATE:20270204
DTSTAMP:20260619T173206
CREATED:20260602T202824Z
LAST-MODIFIED:20260602T202824Z
UID:7724-1801612800-1801699199@www.legayelaw.com
SUMMARY:Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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-derivatives-other-off-balance-sheet-items-form-obs-quarter-ended-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270301
DTEND;VALUE=DATE:20270302
DTSTAMP:20260619T173206
CREATED:20260602T214511Z
LAST-MODIFIED:20260602T214511Z
UID:7823-1803859200-1803945599@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270302
DTEND;VALUE=DATE:20270303
DTSTAMP:20260619T173206
CREATED:20260603T192753Z
LAST-MODIFIED:20260603T192753Z
UID:7842-1803945600-1804031999@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending July 31\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-july-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270302
DTEND;VALUE=DATE:20270303
DTSTAMP:20260619T173206
CREATED:20260603T195022Z
LAST-MODIFIED:20260603T195022Z
UID:7893-1803945600-1804031999@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending December 31\, 2026)
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-december-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270330
DTEND;VALUE=DATE:20270331
DTSTAMP:20260619T173206
CREATED:20260603T193121Z
LAST-MODIFIED:20260603T193121Z
UID:7845-1806364800-1806451199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending August 31\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-august-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270429
DTEND;VALUE=DATE:20270430
DTSTAMP:20260619T173206
CREATED:20260603T193202Z
LAST-MODIFIED:20260603T193202Z
UID:7848-1808956800-1809043199@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending September 30\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-september-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270511
DTEND;VALUE=DATE:20270514
DTSTAMP:20260619T173206
CREATED:20260604T170950Z
LAST-MODIFIED:20260604T170950Z
UID:8018-1809993600-1810252799@www.legayelaw.com
SUMMARY:2027 FINRA Annual Conference
DESCRIPTION:The Annual Conference provides the opportunity for practitioners\, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance\, risk management\, crypto asset developments\, trends and threats in financial crimes and the evolution of branch office inspections\, among others.
URL:https://www.legayelaw.com/calendar/2027-finra-annual-conference/
LOCATION:Washington\, DC
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20270531
DTEND;VALUE=DATE:20270601
DTSTAMP:20260619T173206
CREATED:20260603T193446Z
LAST-MODIFIED:20260603T193446Z
UID:7851-1811721600-1811807999@www.legayelaw.com
SUMMARY:SIPC 6 Assessment (Fiscal year ending October 31\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-6-assessment-fiscal-year-ending-october-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
END:VCALENDAR