Events Search and Views Navigation

Event Views Navigation

This Month

Calendar of Events

M Mon

T Tue

W Wed

T Thu

F Fri

S Sat

S Sun

2 events,

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)

Annual Audit Filing Due Date (Period Ending 08/31/2017)

Annual Audit Filing Due Date (Period Ending 08/31/2017)

1 event,

MSRB Rule G-37 Quarterly Reporting Deadline

MSRB Rule G-37 Quarterly Reporting Deadline

1 event,

FINRA 2018 Renewal Program

FINRA 2018 Renewal Program

1 event,

C&L Society New York Regional Seminar

C&L Society New York Regional Seminar

0 events,

0 events,

1 event,

1 event,

2 events,

-

FINRA AML Seminar – District 7 – Boca Raton, Florida

2 events,

2017 FINRA Small Firm Conference

2017 FINRA Small Firm Conference

1 event,

3 events,

FINRA 2018 Renewal Program – Preliminary Statement Filings

FINRA 2018 Renewal Program – Preliminary Statement Filings

-

C&L Society Chicago Breakfast

-

SIFMA FMS Fundamental Training Securities Operations

0 events,

1 event,

FINRA Institute at Wharton CRCP Program

FINRA Institute at Wharton CRCP Program

3 events,

FINRA 2018 Preliminary Statements Available

FINRA 2018 Preliminary Statements Available

-

FINRA AML Seminar – District 10 – New York

1 event,

1 event,

1 event,

2 events,

0 events,

0 events,

0 events,

0 events,

1 event,

0 events,

2 events,

Outside Business Activities Review

Outside Business Activities Review

0 events,

0 events,

2 events,

Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)

Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)

0 events,

2 events,

SEC Covered Securities Amendment to Rule 146

SEC Covered Securities Amendment to Rule 146

Annual Audit Filing Due Date (Period Ending 09/30/2017)

Annual Audit Filing Due Date (Period Ending 09/30/2017)

1 event,

-

Listed Options Symposium

0 events,

0 events,

0 events,

Copyright© 2024 The LeGaye Law Firm P.C.