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X-WR-CALDESC:Events for LeGaye Law Firm
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20240426
DTEND;VALUE=DATE:20240427
DTSTAMP:20260411T183710
CREATED:20240209T214913Z
LAST-MODIFIED:20240209T214913Z
UID:6792-1714089600-1714175999@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2024)
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-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240426
DTEND;VALUE=DATE:20240427
DTSTAMP:20260411T183710
CREATED:20240209T213653Z
LAST-MODIFIED:20240209T213653Z
UID:6782-1714089600-1714175999@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 3/31/2024)
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-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20240423T090000
DTEND;TZID=America/Chicago:20240423T173000
DTSTAMP:20260411T183710
CREATED:20240212T230133Z
LAST-MODIFIED:20240212T230133Z
UID:6866-1713862800-1713893400@www.legayelaw.com
SUMMARY:NSCP Interactive Compliance Labs – East Coast
DESCRIPTION:NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators\, engage in small group discussions\, and share their thoughts and experiences through the use of case studies\, group questions and hypothetical scenarios applicable to each session’s topic.
URL:https://www.legayelaw.com/calendar/nscp-interactive-compliance-labs-east-coast/
LOCATION:Fordham University School of Law\, 150 W. 62nd Street\, New York\, NY\, 10023\, United States
CATEGORIES:Conferences
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20240423
DTEND;VALUE=DATE:20240424
DTSTAMP:20260411T183710
CREATED:20240209T214503Z
LAST-MODIFIED:20240209T214534Z
UID:6788-1713830400-1713916799@www.legayelaw.com
SUMMARY:Quarterly Form Custody (Quarter ended 3/31/2024)
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-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240423
DTEND;VALUE=DATE:20240424
DTSTAMP:20260411T183710
CREATED:20240209T210224Z
LAST-MODIFIED:20240209T210224Z
UID:6762-1713830400-1713916799@www.legayelaw.com
SUMMARY:Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2024)
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-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240423
DTEND;VALUE=DATE:20240424
DTSTAMP:20260411T183710
CREATED:20240209T205133Z
LAST-MODIFIED:20240209T205133Z
UID:6756-1713830400-1713916799@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 3/31/2024)
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-3-31-2024/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Los_Angeles:20240418T090000
DTEND;TZID=America/Los_Angeles:20240418T173000
DTSTAMP:20260411T183710
CREATED:20240212T230905Z
LAST-MODIFIED:20240212T230905Z
UID:6869-1713430800-1713461400@www.legayelaw.com
SUMMARY:NSCP Interactive Compliance Labs – West Coast
DESCRIPTION:NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators\, engage in small group discussions\, and share their thoughts and experiences through the use of case studies\, group questions and hypothetical scenarios applicable to each session’s topic.
URL:https://www.legayelaw.com/calendar/nscp-interactive-compliance-labs-west-coast/
LOCATION:The Pointe at California State University\, 1250 Bellflower Blvd\, Long Beach\, CA\, 90840\, United States
CATEGORIES:Conferences
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240415
DTEND;VALUE=DATE:20240416
DTSTAMP:20260411T183710
CREATED:20240212T223456Z
LAST-MODIFIED:20240214T185319Z
UID:6847-1713139200-1713225599@www.legayelaw.com
SUMMARY:FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 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-q1-2024/
CATEGORIES:Customer Complaints
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