MSRB Municipal Advisors Continuing Education
MSRB Rule G-3 requires municipal securities dealers and municipal advisors to establish continuing education program requirements.
23 events found.
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FINRA Market Early Close – New Year’s Eve (3 p.m. ET, early close)
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 … Continue reading FINRA Market Early Close – New Year’s Eve (3 p.m. ET, early close)
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FINRA Market Holiday – New Year’s Day
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 … Continue reading FINRA Market Holiday – New Year’s Day
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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2026)
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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2026)
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Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2026)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2026)
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Quarterly Form Custody (Quarter ended 12/31/2026)
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 2026
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 2026
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 … Continue reading Annual Firm Filing and Contact Reporting for 2026
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Annual Audit Filing Due Date (Period Ending 11/30/2026)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 11/30/2026)
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SIPC 6 Assessment (Fiscal year ending June 30, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending June 30, 2026)
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SIPC 7 Assessment (Fiscal year ending November 30, 2026)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending November 30, 2026)
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Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
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. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
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Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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 … Continue reading Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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Annual Audit Filing Due Date (Period Ending 12/31/2026)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 12/31/2026)
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SIPC 6 Assessment (Fiscal year ending July 31, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending July 31, 2026)
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SIPC 7 Assessment (Fiscal year ending December 31, 2026)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending December 31, 2026)
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SIPC 6 Assessment (Fiscal year ending August 31, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending August 31, 2026)
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SIPC 6 Assessment (Fiscal year ending September 30, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending September 30, 2026)
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2027 FINRA Annual Conference
Washington, DCThe 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 … Continue reading 2027 FINRA Annual Conference
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SIPC 6 Assessment (Fiscal year ending October 31, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending October 31, 2026)
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SIPC 6 Assessment (Fiscal year ending November 30, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending November 30, 2026)
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SIPC 6 Assessment (Fiscal year ending December 31, 2026)
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. … Continue reading SIPC 6 Assessment (Fiscal year ending December 31, 2026)