FINRA Market Holiday – Memorial 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 holiday.
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Calendar of Events
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Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2024)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2024)
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SIPC 7 Assessment (Fiscal year ending March 31, 2024)
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 3/31/2024)
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 … Continue reading Annual Audit Filing Due Date (Period Ending 3/31/2024)