Quarterly Form Custody (Quarter ended 12/31/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
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Annual Firm Filing and Contact Reporting for 2019
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic … Continue reading Annual Firm Filing and Contact Reporting for 2019
Monthly Net Capital Computation (Month ending 12/31/2019)
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.
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2019)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.
Annual Schedule I Filing for 2019
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Annual Firm filing and Contact Reporting for 2020
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic … Continue reading Annual Firm filing and Contact Reporting for 2020
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1 event,
Annual Audit Filing Due Date (Period Ending 11/30/2019)
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 11/30/2019)
4 events,
Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2019)
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 Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2019)
Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2019)
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.
Quarterly Supplemental FOCUS Information (SSOI) for Quarter ending 12/31/19. FINRA Rule 4524
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.
SIPC 6 Assessment (Fiscal year ending June 30, 2020)
Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after … Continue reading SIPC 6 Assessment (Fiscal year ending June 30, 2020)
2 events,
Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2020)
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 … Continue reading Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2020)
3 events,
Monthly Net Capital Computation (Month ending 1/31/2020)
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.
Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/20)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 1/31/20)
2 events,
SIPC 7 Assessment (Fiscal year ending December 31, 2019)
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.
2 events,
SIPC 6 Assessment (Fiscal year ending July 31, 2020)
Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. The SIPC 6 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after … Continue reading SIPC 6 Assessment (Fiscal year ending July 31, 2020)