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X-WR-CALNAME:LeGaye Law Firm
X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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TZID:America/Chicago
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DTSTART:20240310T080000
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DTSTART:20241103T070000
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DTSTART:20250309T080000
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DTSTART:20251102T070000
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DTSTART:20260308T080000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20251103
DTEND;VALUE=DATE:20251104
DTSTAMP:20260411T181633
CREATED:20250819T190452Z
LAST-MODIFIED:20250819T190452Z
UID:7444-1762128000-1762214399@www.legayelaw.com
SUMMARY:Annual Firm Renewals - Submission of Post-Dated BDW and ADV-W Forms on CRD and or IARD
DESCRIPTION:Beginning 11/3/2025 Firms may begin to submit post-dated Forms BDW and ADV-W\, which must be dated December 31\, 2025.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-submission-of-post-dated-bdw-and-adv-w-forms-on-crd-and-or-iard-2/
CATEGORIES:Registration & Licensing
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20251110
DTEND;VALUE=DATE:20251111
DTSTAMP:20260411T181633
CREATED:20250819T190744Z
LAST-MODIFIED:20250819T190744Z
UID:7446-1762732800-1762819199@www.legayelaw.com
SUMMARY:Annual Firm Renewals - Preliminary Renewal Statements available on Web CRD/IARD
DESCRIPTION:Beginning November 10\, 2025\, Preliminary Renewal Statements are available for viewing and printing through E-Bill on the CRD of IARD.
URL:https://www.legayelaw.com/calendar/annual-firm-renewals-preliminary-renewal-statements-available-on-web-crd-iard-2/
CATEGORIES:Registration & Licensing
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20251118
DTEND;VALUE=DATE:20251120
DTSTAMP:20260411T181633
CREATED:20250819T185240Z
LAST-MODIFIED:20250819T185240Z
UID:7438-1763424000-1763596799@www.legayelaw.com
SUMMARY:FINRA Compliance Outreach Program for Municipal Advisors and Municipal Dealers – Virtual Event
DESCRIPTION:Co-hosted by the SEC\, MSRB and FINRA\, this year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors\, including conflicts of interest\, broker-dealer primary offering and pricing practices\, compliance concerns\, and other key municipal market topics.
URL:https://www.legayelaw.com/calendar/finra-compliance-outreach-program-for-municipal-advisors-and-municipal-dealers-virtual-event/
CATEGORIES:Conferences
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T181633
CREATED:20250117T162504Z
LAST-MODIFIED:20250117T162504Z
UID:7115-1764115200-1764201599@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 10/31/2025)
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-10-31-2025/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T181633
CREATED:20250117T172722Z
LAST-MODIFIED:20250117T172722Z
UID:7141-1764115200-1764201599@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/25)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-10-31-25/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251126
DTEND;VALUE=DATE:20251127
DTSTAMP:20260411T181633
CREATED:20250121T191304Z
LAST-MODIFIED:20250121T224634Z
UID:7289-1764115200-1764201599@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day before Thanksgiving Day (1 p.m. ET\, early close)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-day-before-thanksgiving-day-1-p-m-early-close-2/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251127
DTEND;VALUE=DATE:20251128
DTSTAMP:20260411T181633
CREATED:20250121T191349Z
LAST-MODIFIED:20250121T191349Z
UID:7291-1764201600-1764287999@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Thanksgiving Day
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/finra-market-holiday-thanksgiving-day-6/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251128
DTEND;VALUE=DATE:20251129
DTSTAMP:20260411T181633
CREATED:20250121T191430Z
LAST-MODIFIED:20250121T224652Z
UID:7293-1764288000-1764374399@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Day after Thanksgiving (1 p.m. ET\, early close)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/finra-market-early-close-day-after-thanksgiving-1-p-m-early-close-7/
CATEGORIES:FINRA Holiday
END:VEVENT
END:VCALENDAR