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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART:20260308T080000
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DTSTART:20261101T070000
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DTSTART;VALUE=DATE:20270201
DTEND;VALUE=DATE:20270202
DTSTAMP:20260619T212724
CREATED:20260602T210959Z
LAST-MODIFIED:20260602T210959Z
UID:7760-1801440000-1801526399@www.legayelaw.com
SUMMARY:Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
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DTSTART;VALUE=DATE:20270201
DTEND;VALUE=DATE:20270202
DTSTAMP:20260619T212724
CREATED:20260602T212437Z
LAST-MODIFIED:20260602T212437Z
UID:7784-1801440000-1801526399@www.legayelaw.com
SUMMARY:Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2026)
DESCRIPTION:FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses.
URL:https://www.legayelaw.com/calendar/quarterly-supplemental-statement-of-income-ssoi-quarter-ending-12-31-2026/
CATEGORIES:Regulatory Financial
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20270203
DTEND;VALUE=DATE:20270204
DTSTAMP:20260619T212724
CREATED:20260602T202824Z
LAST-MODIFIED:20260602T202824Z
UID:7724-1801612800-1801699199@www.legayelaw.com
SUMMARY:Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2026)
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-12-31-2026/
CATEGORIES:Regulatory Financial
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