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
Loading view.
FINRA Half-Day Boot Camp – Kansas City – District 4
DoubleTree Hotel St. Louis at Westport 1973 Craigshire, St. Louis, MO, United StatesHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Half-Day Boot Camp – Kansas City – District 4
FINRA Registration and Disclosure Boot Camp
FINRA 9509 Key West Avenue, Rockville, MD, United StatesThe FINRA Registration and Disclosure Boot Camp is beneficial to those who are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and … Continue reading FINRA Registration and Disclosure Boot Camp
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 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings ( Month ending 8/31/2018)
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
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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 08-31-2018
SIFMA Annual Meeting
Mandarin Oriental 1330 Maryland Avenue SW, Washington, D.C., DC, United StatesEach fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us … Continue reading SIFMA Annual Meeting
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) … Continue reading Annual Audit Filing Due Date (Period Ending 7/31/2018)
FINRA Half-Day Compliance Boot Camp – District 11 – Boston
Stamford Marriot Hotel 243 Tresser Blvd., Stamford, CT, United StatesHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp – District 11 – Boston
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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2018)
AICPA and SIFMA FMS National Conference on the Securities Industry
SIFMA Conference Center New York City, NY, United StatesJoin 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 AICPA and SIFMA FMS National Conference on the Securities Industry
FINRA Half-Day Compliance Boot Camp District 10 – Long Island
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-Day Compliance Boot Camps Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online … Continue reading FINRA Half-Day Compliance Boot Camp District 10 – Long Island
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
FINRA Renewal Program – U5 & BR Closing Submissions
Firms may begin to submit post-dated Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.
FINRA Renewal Program – Post Dated Submissions
Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal, which must be dated 12/31/2018.
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 09/30/2018)
FINRA Half-Day Boot Camp – New York – District 10
FINRA District Office Jericho, N. Y. Two Jericho PlazaHalf-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Half-Day Boot Camp – New York – District 10
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)
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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 09-30-2018
SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
The SEC (Commission) is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment would provide … Continue reading SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers
Disclosure of Order Routing Practices (SEC Rule 606) (Q3 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) (Q3 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. … Continue reading Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2018)
2018 North Region Member Forum – Boston
Hyatt Regency Boston One Avenue de Lafayette, Boston, Massachusetts, United StatesThe North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions … Continue reading 2018 North Region Member Forum – Boston
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) … Continue reading Annual Audit Filing Due Date (Period Ending August 31, 2018)
MSRB Rule G-37 Quarterly Reporting Deadline Q3 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 Q3 2018
MSRB Rule A·14 (Annual Fee)
MSRB Rule A-14 In addition to any other fees prescribed by the rules of the Board, requires each broker, dealer, municipal securities dealer, and municipal advisor shall pay an annual … Continue reading MSRB Rule A·14 (Annual Fee)
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 … Continue reading Form OBS Quarterly filing due for Q3 2018
FINRA Post-Dated Submissions
Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18.
SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations
The Securities and Exchange Commission ("Commission") is proposing amendments to rules for nationally recognized statistical rating organizations ("NRSROs") under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments would … Continue reading SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
Boca Raton Marriot 5150 Town Center Circle, Boca Raton, Florida, United StatesFINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
2018 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 senior … Continue reading 2018 FINRA Small Firm Conference
FINRA Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable Nov. 10 as Preliminary Statements are generating.
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
FINRA requests comment on a proposal to expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website by (1) publishing on a one-month … Continue reading FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
FINRA Preliminary Statements Available
PRELIMINARY Statements are available through E-Bill.
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
SEC Request for Comment: Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
The Securities and Exchange Commission ("Commission") is reopening the comment period and requesting additional comment (including potential modifications to proposed rule language) on the following: proposed amendments and new rules … Continue reading SEC Request for Comment: Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
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 … Continue reading Net Capital Computation (Month ending 10/31/2018)
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 … 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) … 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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 10-31-2018
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)
FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)
FINRA released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers. FINRA highlights five areas … Continue reading FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)
SEC Requests Comments: Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities
The SEC is proposing amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered, and issuers’ affiliates whose securities collateralize securities registered or being … Continue reading SEC Requests Comments: Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities
FINRA Options Industry Regulatory Conference
During the meeting, FINRA surveillance and examination staff will discuss regulatory priorities and recent findings. To register, please click on the link below and follow the detailed instructions. You will … Continue reading FINRA Options Industry Regulatory Conference
National Day of Mourning
FINRA published Information Notice 12/4/18 describing changes to the Contrary Exercise Advice ("CEA," also known as "Expiring Exercise Declaration" or "EED") cut-off time for options that expire on December 5, … Continue reading National Day of Mourning
FINRA CTCI migration conference call
FINRA is hosting a CTCI migration conference call on Wednesday, Dec. 5, 2018, 2-3 p.m. Eastern Time, to discuss the upcoming migration. Effective Feb. 3, 2020, FIX will be the … Continue reading FINRA CTCI migration conference call
FINRA New York Region Member Forum
Marriott Marquis 901 Massachusetts Avenue NW, Washington, D.C., DC, United StatesThe New York Region Member Forum is a half-day event designed to provide financial professionals associated with FINRA member firms in the New York Region the opportunity to engage in … Continue reading FINRA New York Region Member Forum
FINRA Special Election – National Adjudicatory Council
FINRA is conducting a Special Election to fill a Small Firm Vacancy on the National Adjudicatory Council. Petitions for candidacy are due December 13, 2018. Any eligible individual who obtains … Continue reading FINRA Special Election – National Adjudicatory Council
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
Annual Firm Renewals -Deadline on Payments for Preliminary Renewal Statements
Deadline for receipt of Preliminary Statement payments. Firms with sufficient monies in their Flex-Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. … Continue reading Annual Firm Renewals -Deadline on Payments for Preliminary Renewal Statements
Preliminary Statement Payment Deadline
DEADLINE for receipt of Preliminary Statement payments. Firms with sufficient monies in their Flex-Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. … Continue reading Preliminary Statement Payment Deadline
FINRA Rule 4570 (Custodian of Books & Records) – Proposed Changes – Request for Comment
The SEC requests comment on FINRA's proposal to amend FINRA Rule 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request … Continue reading FINRA Rule 4570 (Custodian of Books & Records) – Proposed Changes – Request for Comment
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 … Continue reading Net Capital Computation (Month ending 11/30/2018)
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 … Continue reading Monthly & Fifth FOCUS Part II/IIA Filings (month ending 11/30/2018)
FINRA Renewal Program – Form Filing Deadline
LAST DAY to submit form filings prior to year-end.Web CRD and IARD are available from 5 a.m. until 6 p.m., Eastern Time (ET).
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)
FINRA 2019 Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable due to Final Statement and renewals processing.
FINRA Renewal Program – CRD & IARD Limited Availability
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
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 … Continue reading Supplementary Inventory Schedule Reporting period end date of 11-30-2018
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 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).
FINRA Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable due to renewals processing.
FINRA Renewal Program – Final Statement Available
Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund … Continue reading FINRA Renewal Program – Final Statement Available
Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD
Final Renewal Statements will be available online on either Web CRD or IARD. If you have a renewal overpayment. it will be automatically transferred to your daily account in conjunction … Continue reading Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD
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 … Continue reading Short Interest Reporting Due Date for 12/31/2018
Proposal to Amend FINRA Rules 12214 and 13214 in effect
Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or … Continue reading Proposal to Amend FINRA Rules 12214 and 13214 in effect
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 … 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 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 … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
2019 FINRA RegTech Conference
InterContinental New York Times Square 300 West 44th Street, New York, United StatesRegulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to … Continue reading 2019 FINRA RegTech Conference
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
Martin Luther King, Jr. 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 Martin Luther King, Jr. Day – Market Holiday
FINRA Renewal Program – Final Statement Payment Deadline
DEADLINE for receipt of Final Statement payments. Firms with sufficient monies in their Flex- Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees … Continue reading FINRA Renewal Program – Final Statement Payment Deadline
FINRA Contact System Review
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and By-Laws. Designated firm contacts are used to facilitate voting in FINRA elections, … Continue reading FINRA Contact System Review
Outside Business Activities Review
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 Activities Review
Annual FCS 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 FCS Reporting for 2019
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 … 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