Form Custody Filings (period ended 12/31/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
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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 … 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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2018)
MSRB Update of Primary Contact Information (MSRB G-40)
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
Monthly & Fifth FOCUS IIA Filings (Month ending 12/31/2018)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 12/31/2018)
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 … Continue reading Net Capital Computation (Month ending 12/31/2018)
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.
Disclosure of Order Routing Practices (SEC Rule 606) (Q4 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. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2018)
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) … 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 … 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. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2018)
MSRB Rule G-37 Quarterly Reporting Deadline – Q4 2018
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 … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline – Q4 2018
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 … 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 … Continue reading Form OBS Quarterly filing due for Q4 2018
2019 Compliance Outreach Program for Municipal Advisors
Hyatt Regency San Francisco 5 Embarcadero Center, San Francisco, CA, United StatesThe Compliance Outreach Program for Municipal Advisors is a free one-day program designed to provide an open forum for municipal advisory industry professionals to discuss current compliance practices with regulators … Continue reading 2019 Compliance Outreach Program for Municipal Advisors
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
Presidents’ Day – Market Holiday
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 … Continue reading Presidents’ Day – Market Holiday
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
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 … 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 … Continue reading Net Capital Computation (Month ending 01/31/2019)
FINRA Board of Governors Meeting – February/March 2019
FINRA’s Board of Governors met on Feb. 28 and March 1 in Boca Raton, Florida, where it discussed the organization’s finances, reviewed several significant technology and other capital initiatives, and … Continue reading FINRA Board of Governors Meeting – February/March 2019
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) … 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.
Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. finra.complinet.com/en/display/display_main.html
FINRA Podcast – Member Relations & Education: Making Regulation Smarter
As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship … Continue reading FINRA Podcast – Member Relations & Education: Making Regulation Smarter
SIFMA’s Compliance And Legal Society Annual Seminar
JW Marriot Phoenix Desert Ridge 5350 East Marriot Drive, Phoenix, ArizonaStephanie Avakian and Steven Peikin, Co-Directors of the Division of Enforcement, will participate in a panel at SIFMA’s Compliance and Legal Society Annual Seminar. Agenda details.
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 … Continue reading Net Capital Computation (Month ending 02/28/2019)
Monthly & Fifth FOCUS IIA Filings (Month ending 02/28/2019)
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 02/28/2019)
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 … Continue reading Supplemental Inventory Schedule Reporting period end date of 02-28-2019
Outside Business Activity Review (FINRA Rule 3270)
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading Outside Business Activity Review (FINRA Rule 3270)
Review and Update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and Update Firm Element Continuing Education Plan
Annual Attestation for Research Supervisory Procedures NASD Rule 2711(i)
NASD Rule 2711(i) requires that a senior officer of the broker-dealer attest annually to FINRA electronically through the firm Gateway that the broker-dealer has adopted and implemented written supervisory procedures … Continue reading Annual Attestation for Research Supervisory Procedures NASD Rule 2711(i)
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) … 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q1 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 … 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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2019)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 03/31/2019)
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.
Quarterly FOCUS and SSOI Filing (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 … Continue reading Quarterly FOCUS and SSOI Filing (Quarter ending 03/31/2019)
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) … 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. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q1 2019)
MSRB Quarterly Form G-37 Disclosure Submission 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 … Continue reading MSRB Quarterly Form G-37 Disclosure Submission Deadline
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 … Continue reading Form OBS Quarterly filing due for Q1 2019 ( March 31, 2019)
NSCP Spring Conference and Regulatory Interchange
The Spring Conference will offer two training tracks, designed for new and for seasoned professionals: • TRACK 1: Building Core Competencies – BD & IA Training for New … Continue reading NSCP Spring Conference and Regulatory Interchange
FINRA 2019 Annual Conference
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
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 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 04/30/2019)
FINRA District 6 (Dallas) Half-Day Compliance Boot Camp
FINRA District 6 Office 12801 North Central Expressway, Ste 1050, Dallas, TX
$195.00
Memorial Day – Market Holiday
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 … Continue reading Memorial Day – Market Holiday
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) … Continue reading Annual Audit Filing Due Date (Period Ending 03/31/2019)
SEC Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
SEC Washington D.C. headquarters 100 F Street N. E., Washington D.C., DC, United StatesThe Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. The forum is … Continue reading SEC Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
Review and Update Firm Element Continuing Education Plan
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Review and Update Firm Element Continuing Education Plan
MSRB Quarterly Form G-37 Disclosure Submission Period Opens
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 … Continue reading MSRB Quarterly Form G-37 Disclosure Submission Period Opens
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 … Continue reading FINRA Market Holiday – Independence Day
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2019)
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q2 2019)
FINRA District 8 (Chicago) AML Seminar
FINRA District 8 Office 55 West Monroe Street, Chicago, IL
$195.00
FINRA Market Early Close – Christmas Eve (1 p.m. early close)
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 … Continue reading FINRA Market Early Close – Christmas Eve (1 p.m. early close)
District 7 (Atlanta) District Compliance Meeting
Charlotte Convention Center 501 South College Street, Charlotte, NCSIFMA – C&L Society San Francisco Regional Seminar
The C&L Society San Francisco Regional Seminar gathers compliance and legal professionals working in the financial services industry
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2019)
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 … 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. … Continue reading Quarterly Supplemental FOCUS Information Supplemental Statement of Income (SSOI) for Quarter ending 6/30/19. FINRA Rule 4524
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) … 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 … Continue reading SIPC 7 Assessment (Fiscal year ending May 31, 2020)
SIPC 6 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, for the first half of each fiscal year. … Continue reading SIPC 6 Assessment (Fiscal year ending December 31, 2019)
Disclosure of Order Routing Practices (SEC Rule 606) (Q2 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. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q2 2019)
MSRB Quarterly Form G-37 Disclosure Submission 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 … Continue reading MSRB Quarterly Form G-37 Disclosure Submission Deadline
FINRA District 2 (Los Angeles) Compliance Meeting
Hilton San Diego Del Mar 15575 Jimmy Durante, Del Mar, CAComments Due on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors
The Municipal Securities Rulemaking Board (MSRB) is seeking comments on MSRB Rule G-23, on activities of financial advisors, in connection with its ongoing retrospective review of MSRB rules and guidance. This request for comment … Continue reading Comments Due on MSRB Rule G-23 on Activities of Dealers Acting as Financial Advisors
Monthly Net Capital Computation (Month ending 7/31/2019)
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 … Continue reading Monthly Net Capital Computation (Month ending 7/31/2019)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 7/31/19)
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 7/31/19)
Annual Audit Filing Due Date (Period Ending 6/30/2019)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 6/30/2019)
SIPC 6 Assessment (Fiscal year ending January 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. … Continue reading SIPC 6 Assessment (Fiscal year ending January 31, 2020)
FINRA Market Early Close – Friday before Labor Day (3 p.m. early close)
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 … Continue reading FINRA Market Early Close – Friday before Labor Day (3 p.m. early close)
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 … Continue reading FINRA Market Holiday – Labor Day
SIFMA Compliance &Legal Society September Luncheon
New York, NYFINRA District 4 (Kansas City) Half-Day Compliance Boot Camp
The Marquette Hotel 710 S. Marquette Ave., Minneapolis, MN, United States
$195.00
SIFMA – Listed Options Symposium
New York, NYSIFMA's Listed Options Symposium is a New York City event that brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the … Continue reading SIFMA – Listed Options Symposium
SIFMA – Equity Market Structure Conference
New York, NYThe SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join market … Continue reading SIFMA – Equity Market Structure Conference
SIFMA – Compliance & Legal Society Charlotte Regional Seminar
Charlotte, NCThe C&L Society Charlotte Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage … Continue reading SIFMA – Compliance & Legal Society Charlotte Regional Seminar
SIFMA – Fintech Conference
New York, NYSIFMA's Fintech Conference brings together innovators, industry leaders and policymakers in New York City to discuss the emerging fintech evolution and how existing regulatory frameworks can accommodate new transformative technologies.
Monthly Net Capital Computation (Month ending 8/31/2019)
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 … Continue reading Monthly Net Capital Computation (Month ending 8/31/2019)
Monthly & Fifth’ FOCUS IIA Filings (Month ending 8/31/19)
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 8/31/19)
Annual Audit Filing Due Date (Period Ending 7/31/2019)
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) … Continue reading Annual Audit Filing Due Date (Period Ending 7/31/2019)
SIPC 6 Assessment (Fiscal year ending February 29, 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. … Continue reading SIPC 6 Assessment (Fiscal year ending February 29, 2020)
SIFMA – Global Corporate Actions Forum
New York, NYThe Global Corporate Actions Forum brings together operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss the latest regulations, challenges, best practices and … Continue reading SIFMA – Global Corporate Actions Forum
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2019)
SIFMA – AICPA and SIFMA FMS National Conference on the Securities Industry
New York, NYJoin senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted … Continue reading SIFMA – AICPA and SIFMA FMS National Conference on the Securities Industry
Annual Firm Renewals – Submission of Post-Dated U5 and BR Termination Forms on CRD and or IARD
Beginning 11/1/2019 Firms may begin to submit post-dated Forms U5 and BR Closing / Withrawal, which must be dated December 31, 2019.
2019 FINRA Small Firm Conference
Fairmont Miramar Hotel & Bungalows 101 Wilshire Boulevard, Santa Monica, CAThe Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA … Continue reading 2019 FINRA Small Firm Conference
Quarterly Form Custody (Quarter ended 9/30/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Monthly Net Capital Computation (Month ending 9/30/2019)
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 … Continue reading Monthly Net Capital Computation (Month ending 9/30/2019)
Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2019)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2019)