Customer Margin Balance Due
FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.
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Regulatory Financial
PCAOB Adopts New Rules for Audit Reports
The Public Company Accounting Oversight Board (PCAOB) has adopted new rules and amendments to auditing standards (collectively, the "proposed rules") to make the auditor's report more informative and relevant to investors and other financial statement users. The text of the proposed rules appears in Exhibit A to the SEC Filing Form 19b-4 and is available … Continue reading PCAOB Adopts New Rules for Audit Reports
Short Interest Report Due
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/2017)
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/2017)
Net Capital Computation (Month ending 11/30/2017)
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 GASB Accounting Support Fee
FINRA assesses an annual support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB”). The fee is assessed on a quarterly basis and is based on member firm’s municipal securities trading volume for the prior quarter. http://finra.complinet.com/en/display/display_viewall.html?rbid=2403&element_id=4693&record_id=6093
Annual Audit Filing Due Date (Period Ending 10/31/2017)
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 10/31/2017)
Short Interest Reporting Due Date
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2017)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2017)
Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2017)
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. http://taft.law.uc.edu/CCL/34ActRls/rule17a-5.html
Form Custody Filings ( period ended 12/31/2017)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Annual Schedule I Filing for 2017
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2017)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2017)
Annual Audit Filing Due Date (Period Ending 11/30/2017)
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 11/30/2017)
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2017)
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. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475
MSRB Rule G-37 Reporting Deadline
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Reporting Deadline
Annual Audit Filing Due Date (Period Ending 12/31/2017)
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 12/31/2017)
SIPC Assessments (Year ending December 31, 2017) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC 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 for the each fiscal year, due no later than 60 days … Continue reading SIPC Assessments (Year ending December 31, 2017) SIPC 7
Supplementary Inventory Schedule Reporting period end date of 02-28-2018
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 Supplementary Inventory Schedule Reporting period end date of 02-28-2018
Form Custody Filings (period ended 03/31/2018)
Firms are required to file the Form Custody when they submit their Focus filings.
Supplementary Inventory Schedule Reporting period end date of 03-31-2018
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 Supplementary Inventory Schedule Reporting period end date of 03-31-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 03/31/2018)
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. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475
Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2018)
Annual Audit Filing Due Date (Period Ending 02/28/2018)
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 02/28/2018)
Form OBS Quarterly filing due for Q1 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q1 2018
Net Capital Computation (Month ending 04/30/2018)
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 04/30/2018)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2018)
Supplementary Inventory Schedule Reporting period end date of 04-30-2018
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 Supplementary Inventory Schedule Reporting period end date of 04-30-2018
Annual Audit Filing Due Date (Period Ending March 31, 2018)
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 March 31, 2018)
Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 05/31/2018)
Supplementary Inventory Schedule Reporting period end date of 05-31-2018
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 Supplementary Inventory Schedule Reporting period end date of 05-31-2018
Annual Audit Filing Due Date (Period Ending April 30, 2018)
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 April 30, 2018)
Form Custody Filings (period ended 06/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2018)
Supplementary Inventory Schedule Reporting period end date of 06-30-2018
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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 06-30-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2018)
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. http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14475&element_id=10588&highlight=4524#r14475
Annual Audit Filing Due Date (Period Ending 5/31/2018)
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 5/31/2018)
SIPC Assessments (Year ending 06/30/2018) SIPC 6
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than 30 days … Continue reading SIPC Assessments (Year ending 06/30/2018) SIPC 6
Form OBS Quarterly filing due for Q2 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q2 2018
Net Capital Computation (Month ending 07/31/2018)
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 Part II/IIA Filings (Month ending 7/31/2018)
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 Part II/IIA Filings (Month ending 7/31/2018)
Supplementary Inventory Schedule Reporting period end date of 07-31-2018
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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 07-31-2018
Annual Audit Filing Due Date (Period Ending 6/30/2018)
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 6/30/2018)
Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
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 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
Supplementary Inventory Schedule Reporting period end date of 08-31-2018
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 Supplementary Inventory Schedule Reporting period end date of 08-31-2018
Annual Audit Filing Due Date (Period Ending 7/31/2018)
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 7/31/2018)
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
Form Custody Filings (period ended 09/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)
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. taft.law.uc.edu/CCL/34ActRls/rule17a-5.html
Supplementary Inventory Schedule Reporting period end date of 09-30-2018
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 Supplementary Inventory Schedule Reporting period end date of 09-30-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)
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. finra.complinet.com/en/display/display.html
Annual Audit Filing Due Date (Period Ending August 31, 2018)
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 August 31, 2018)
Form OBS Quarterly filing due for Q3 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q3 2018
Net Capital Computation (Month ending 10/31/2018)
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 Part II/IIA Filings (Month ending 10/31/2018)
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 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 10/31/2018)
Annual Audit Filing Due Date (Period Ending September 30, 2018)
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 September 30, 2018)
Supplementary Inventory Schedule Reporting period end date of 10-31-2018
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 Supplementary Inventory Schedule Reporting period end date of 10-31-2018
Net Capital Computation (Month ending 11/30/2018)
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 Part II/IIA Filings (month ending 11/30/2018)
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 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (month ending 11/30/2018)
Supplementary Inventory Schedule Reporting period end date of 11-30-2018
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 Supplementary Inventory Schedule Reporting period end date of 11-30-2018
Annual Audit Filing Due Date (Year Ending October 31, 2018)
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).
Short Interest Reporting Due Date for 12/31/2018
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. Questions Questions regarding the information that firms need to file can be directed to the appropriate District Office. Questions regarding system requirements, file uploads and related submission problems should be directed to (800) 321-6273. Business questions … Continue reading Short Interest Reporting Due Date for 12/31/2018
Customer Margin Balance Report Due – Period ending 12/31/2018
FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts. Customer Margin Balance Reporting and Margin Statistics FINRA Rule 4521 requires that member firms that carry customer margin accounts must submit — via the Customer Margin Balance Form — the following numbers: the total … Continue reading Customer Margin Balance Report Due – Period ending 12/31/2018
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
Form Custody Filings (period ended 12/31/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly Form Custody (Quarter ended 12/31/2018)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
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
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2018)
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. taft.law.uc.edu/CCL/34ActRls/rule17a-5.html
Net Capital Computation (Month ending 12/31/2018)
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.
Annual Schedule I Filing for 2018
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Annual Schedule I Filing for 2018
SEC Rule 17a-10 requires broker-dealers to file Schedule I within 17 business days after calendar year-end.
Annual Audit Filing Due Date (Period Ending 11/30/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audit 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 11/30/2018)
Supplementary Inventory Schedule Reporting period end date of 12-31-2018
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 Supplementary Inventory Schedule Reporting period end date of 12-31-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2018)
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. finra.complinet.com/en/display/display.html
SIPC Assessments (Year ending 12/31/2018) SIPC 7
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than 30 days … Continue reading SIPC Assessments (Year ending 12/31/2018) SIPC 7
Form OBS Quarterly filing due for Q4 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q4 2018
Monthly & Fifth FOCUS II/IIA Filings(month ending 01/31/2019)
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 … Continue reading Monthly & Fifth FOCUS II/IIA Filings(month ending 01/31/2019)
Net Capital Computation (Month ending 01/31/2019)
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.
Annual Audit Filing Due Date (Period Ending 12/31/2018)
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 12/31/2018)
Supplemental Inventory Schedule (report period ended 01/31/2019)
The Supplemental Inventory Schedule (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.6 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.
Net Capital Computation (Month ending 02/28/2019)
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.
Supplemental Inventory Schedule Reporting period end date of 02-28-2019
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 Supplemental Inventory Schedule Reporting period end date of 02-28-2019
Annual Audit Filing Due Date (Period Ending 01/31/2019)
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 01/31/2019)
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2019)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2019)
Quarterly Form Custody (Quarter ended 3/31/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2019)
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.
Form Custody Filings (period ended 03/31/2019)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 03/31/2019)
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.
Supplemental Inventory Schedule (report period ended 3/31/2019)
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 less than $100,000; or (2) inventory positions consisting only of money
market mutual funds.6 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.
Annual Audit Filing Due Date (Period Ending 02/28/2019)
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 02/28/2019)
Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2019)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2019)
Form OBS Quarterly filing due for Q1 2019 ( March 31, 2019)
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q1 2019 ( March 31, 2019)
Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2019)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2019)
Annual Audit Filing Due Date (Period Ending 03/31/2019)
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 03/31/2019)
Quarterly Form Custody (Quarter ended 6/30/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2019)
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.
Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 6/30/2019)
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 6/30/2019)
Quarterly Supplemental FOCUS Information Supplemental Statement of Income (SSOI) for Quarter ending 6/30/19. 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.
Annual Audit Filing Due Date (Period Ending 5/31/2019)
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 5/31/2019)
SIPC 7 Assessment (Fiscal year ending May 31, 2020)
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.