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X-ORIGINAL-URL:https://www.legayelaw.com
X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART:20250309T080000
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DTSTART:20251102T070000
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DTSTART:20270314T080000
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20261102
DTEND;VALUE=DATE:20261103
DTSTAMP:20260619T145620
CREATED:20260602T202648Z
LAST-MODIFIED:20260602T202648Z
UID:7721-1793577600-1793663999@www.legayelaw.com
SUMMARY:Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2026)
DESCRIPTION:Unless subject to the de minimis exception\, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or carry customer accounts; and (2) all other FINRA member firms that have\, pursuant to SEA Rule 15c3-1\, a minimum dollar net capital requirement equal to or greater than $100\,000 and at least $10 million in reportable items pursuant to the Form OBS. Any firm that is required to file the Form OBS must do so as of the last day of a reporting period within 22 business days of the end of each calendar quarter by using the eFOCUS system.  A firm that claims the de minimis exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period.
URL:https://www.legayelaw.com/calendar/supplemental-schedule-derivatives-other-off-balance-sheet-items-form-obs-quarter-ended-9-30-2026/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20261125
DTEND;VALUE=DATE:20261126
DTSTAMP:20260619T145620
CREATED:20260602T164103Z
LAST-MODIFIED:20260602T164103Z
UID:7671-1795564800-1795651199@www.legayelaw.com
SUMMARY:Monthly Net Capital Computation (Month ending 10/31/2026)
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-10-31-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261125
DTEND;VALUE=DATE:20261126
DTSTAMP:20260619T145620
CREATED:20260602T174645Z
LAST-MODIFIED:20260602T174645Z
UID:7707-1795564800-1795651199@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/26)
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-10-31-26/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261125
DTEND;VALUE=DATE:20261126
DTSTAMP:20260619T145620
CREATED:20260603T202223Z
LAST-MODIFIED:20260603T202223Z
UID:7947-1795564800-1795651199@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-et-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261126
DTEND;VALUE=DATE:20261127
DTSTAMP:20260619T145620
CREATED:20260603T202315Z
LAST-MODIFIED:20260603T202315Z
UID:7950-1795651200-1795737599@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/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/Chicago:20261127T130000
DTEND;TZID=America/Chicago:20261127T170000
DTSTAMP:20260619T145620
CREATED:20260603T202410Z
LAST-MODIFIED:20260603T202410Z
UID:7953-1795784400-1795798800@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-et-early-close/
CATEGORIES:FINRA Holiday
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261130
DTEND;VALUE=DATE:20261201
DTSTAMP:20260619T145620
CREATED:20260602T213815Z
LAST-MODIFIED:20260602T213815Z
UID:7814-1795996800-1796083199@www.legayelaw.com
SUMMARY:Annual Audit Filing Due Date (Period Ending 9/30/2026)
DESCRIPTION: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).
URL:https://www.legayelaw.com/calendar/annual-audit-filing-due-date-period-ending-9-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261130
DTEND;VALUE=DATE:20261201
DTSTAMP:20260619T145620
CREATED:20260603T194801Z
LAST-MODIFIED:20260603T194801Z
UID:7884-1795996800-1796083199@www.legayelaw.com
SUMMARY:SIPC 7 Assessment (Fiscal year ending September 30\, 2026)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/sipc-7-assessment-fiscal-year-ending-september-30-2026/
CATEGORIES:Regulatory Financial
END:VEVENT
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