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FINRA Market Holiday – Independence Day

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.

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2022)

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 (Q2 2022) →

Monthly Net Capital Computation (Month ending 6/30/2022)

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 6/30/2022)

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.

SIPC 7 Assessment (Fiscal year ending May 31, 2022)

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.

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2022)

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 of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 6/30/2022) →

Monthly Net Capital Computation (Month ending 7/31/2022)

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.

SIPC 7 Assessment (Fiscal year ending June 30, 2022)

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.

FINRA Market Holiday – Labor Day

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.

Monthly Net Capital Computation (Month ending 8/31/2022)

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.

SIPC 7 Assessment (Fiscal year ending July 31, 2022)

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.

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2022)

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 2022) →

NSCP National Conference

Gaylord National Harbor Resort & Convention Center 201 Waterfront Street, National Harbor, MD, United States

The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.

Monthly Net Capital Computation (Month ending 9/30/2022)

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 9/30/2022)

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.

SIPC 7 Assessment (Fiscal year ending August 31, 2022)

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.

Annual MSRB Registration Fees Due

As part of its initial registration and annually thereafter, based on the fiscal year of the Board, each broker, dealer, municipal securities dealer, and municipal advisor shall pay to the Board an annual registration fee of $1,000.  The annual registration fee shall be payable in the manner provided by the MSRB Registration Manual.  Subsequent to … Continue reading Annual MSRB Registration Fees Due →

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2022)

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 of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2022) →

FINRA Market Holiday – Thanksgiving Day

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.

Monthly Net Capital Computation (Month ending 10/31/2022)

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.

SIPC 7 Assessment (Fiscal year ending September 30, 2022)

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.

Monthly Net Capital Computation (Month ending 11/30/2022)

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.

FINRA Market Holiday – Christmas Day

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.

SIPC 7 Assessment (Fiscal year ending October 31, 2022)

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.

FINRA Market Holiday – New Year’s Day

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.

FINRA Market Holiday – New Year’s Day

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.

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2022)

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 2022) →

FINRA Market Holiday – Martin Luther King, Jr. Day

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.

Annual Firm Filing and Contact Reporting for 2022

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 2022 →

Annual Firm filing and Contact Reporting for 2022

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 2022 →

Monthly Net Capital Computation (Month ending 12/31/2022)

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 12/31/2022)

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.

Monthly Net Capital Computation (Month ending 12/31/22)

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 12/31/2022)

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.

SIPC 7 Assessment (Fiscal year ending November 30, 2022)

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.

Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2022)

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 of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2022) →

Supplemental Schedule Derivatives & Other Off-Balance Sheet Items (Form OBS) (Quarter ended 12/31/2022)

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 12/31/2022) →

FINRA Market Holiday – Presidents’ Day

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.

Monthly Net Capital Computation (Month ending 1/31/2023)

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.

SIPC 7 Assessment (Fiscal year ending December 31, 2022)

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.

Monthly Net Capital Computation (Month ending 2/28/2023)

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.

SIFMA – Quarterly Conference

EY, One Manhattan West, 401 9th Ave, 48th Fl, NYC 10001 One Manhattan West, 401 9th Ave, 48th Fl, New York, NY, United States

SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend a Quarterly Conference to learn about insurance industry issues such as cybersecurity, accounting, or tax reform as well as the global, federal and, state regulation … Continue reading SIFMA – Quarterly Conference →

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 2023)

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 2023) →

Monthly Net Capital Computation (Month ending 3/31/2023)

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 3/31/2023)

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.

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