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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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DTSTART;TZID=America/Chicago:20260505T090000
DTEND;TZID=America/Chicago:20260505T173000
DTSTAMP:20260619T065333
CREATED:20260604T162453Z
LAST-MODIFIED:20260604T162453Z
UID:8006-1777971600-1778002200@www.legayelaw.com
SUMMARY:NSCP Interactive Compliance Labs – Chicago
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-chicago/
LOCATION:Foley Lardner LLP\, 321 N Clark St Suite 3000\, Chicago\, IL\, 60654\, United States
CATEGORIES:Conferences
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260512
DTEND;VALUE=DATE:20260515
DTSTAMP:20260619T065333
CREATED:20250819T185511Z
LAST-MODIFIED:20260604T170539Z
UID:7440-1778544000-1778803199@www.legayelaw.com
SUMMARY:2026 FINRA Annual Conference
DESCRIPTION:The Annual Conference provides the opportunity for practitioners\, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance\, risk management\, crypto asset developments\, trends and threats in financial crimes and the evolution of branch office inspections\, among others.
URL:https://www.legayelaw.com/calendar/2026-finra-annual-conference/
LOCATION:Washington\, D.C.\, Washington\, DC\, United States
CATEGORIES:Conferences
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DTSTART;TZID=America/Chicago:20260522T130000
DTEND;TZID=America/Chicago:20260522T170000
DTSTAMP:20260619T065333
CREATED:20260603T200938Z
LAST-MODIFIED:20260603T203225Z
UID:7921-1779454800-1779469200@www.legayelaw.com
SUMMARY:FINRA Market Early Close - Friday before Memorial 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-holiday-friday-before-memorial-day-1-p-m-et-early-close/
CATEGORIES:FINRA Holiday
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260525
DTEND;VALUE=DATE:20260526
DTSTAMP:20260619T065333
CREATED:20260603T201052Z
LAST-MODIFIED:20260603T201052Z
UID:7924-1779667200-1779753599@www.legayelaw.com
SUMMARY:FINRA Market Holiday - Memorial 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-memorial-day/
CATEGORIES:FINRA Holiday
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260526
DTEND;VALUE=DATE:20260527
DTSTAMP:20260619T065333
CREATED:20260602T163348Z
LAST-MODIFIED:20260602T163348Z
UID:7659-1779753600-1779839999@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 4/30/2026)
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-4-30-2026/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20260526
DTEND;VALUE=DATE:20260527
DTSTAMP:20260619T065333
CREATED:20260602T173955Z
LAST-MODIFIED:20260602T173955Z
UID:7695-1779753600-1779839999@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 4/30/26)
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-4-30-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260529
DTEND;VALUE=DATE:20260530
DTSTAMP:20260619T065333
CREATED:20260602T205744Z
LAST-MODIFIED:20260602T205744Z
UID:7736-1780012800-1780099199@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 04/30/2026)
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-04-30-2026/
CATEGORIES:Regulatory Financial
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