LeGaye Law Firm

SIFMA – Annual Conference
2024-09-08 - 2024-09-11 | Atlantic City, NJ, Atlantic City, NJ, United States
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.
Our Planning Committee has mapped out more than 50 in-depth breakout sessions on the industry’s hottest topics in six tracks:

Banking
Ethics & DEI
Capital Markets
Litigation, Enforcement & Legal
Compliance & Technology
Retail, Private Client & Arbitration

SIFMA 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.

FINRA Market Holiday - Labor Day
2024-09-02
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. early close)
2024-08-30

SIPC 7 Assessment (Fiscal year ending June 30, 2024)
2024-08-29
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 6/30/2024)
2024-08-29
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 7/31/2024)
2024-08-28
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.

Monthly Net Capital Computation (Month ending 7/31/2024)
2024-08-23
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.

Monthly & Fifth' FOCUS IIA Filings (Month ending 7/31/24)
2024-08-23
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.
