Quarterly Form Custody (Quarter ended 9/30/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Loading view.
Regulatory Financial
Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2024)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 9/30/2024)
Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2024)
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. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2024)
Annual Audit Filing Due Date (Period Ending 8/31/2024)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 8/31/2024)
SIPC 7 Assessment (Fiscal year ending August 31, 2024)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending August 31, 2024)
Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2024)
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 … Continue reading Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2024)
Monthly Net Capital Computation (Month ending 10/31/2024)
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 … Continue reading Monthly Net Capital Computation (Month ending 10/31/2024)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/24)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/24)
Annual Audit Filing Due Date (Period Ending 9/30/2024)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 9/30/2024)
SIPC 7 Assessment (Fiscal year ending September 30, 2024)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending September 30, 2024)
Supplemental Inventory Schedule (SIS) Report (Month ended 10/31/2024)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 10/31/2024)
Monthly Net Capital Computation (Month ending 11/30/2024)
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 … Continue reading Monthly Net Capital Computation (Month ending 11/30/2024)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/24)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/24)
Supplemental Inventory Schedule (SIS) Report (Month ended 11/30/2024)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 11/30/2024)
Annual Audit Filing Due Date (Period Ending 10/31/2024)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 10/31/2024)
SIPC 7 Assessment (Fiscal year ending October 31, 2024)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending October 31, 2024)
Annual Schedule I Filing for 2024
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2024)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2024)
Quarterly Form Custody (Quarter ended 12/31/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Annual Audit Filing Due Date (Period Ending 11/30/2024)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 11/30/2024)
SIPC 7 Assessment (Fiscal year ending November 30, 2024)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending November 30, 2024)
Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
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. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2024)
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 … Continue reading Supplemental Inventory Schedule (SIS) Report (Month ended 12/31/2024)
Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
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. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2024)
Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2024)
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 … Continue reading Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2024)
SIPC 7 Assessment (Fiscal year ending December 31, 2024)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending December 31, 2024)
Annual Audit Filing Due Date (Period Ending 12/31/2024)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 12/31/2024)