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 1/31/2022)
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 1/31/22)
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 12/31/2021)
Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to … Continue reading SIPC 7 Assessment (Fiscal year ending December 31, 2021)
Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to … Continue reading SIPC 7 Assessment (Fiscal year ending December 31, 2021)
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 July 31, 2021)
The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and … Continue reading SIFMA – Annual Conference
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 2/28/2022)
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 2/28/22)
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 August 31, 2021)
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 1/31/2022)
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
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 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 … Continue reading Monthly Net Capital Computation (Month ending 3/31/2022)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2022)
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 3/31/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
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 3/31/22)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 3/31/2022)
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 2/28/2022)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending February 28, 2022)
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 September 30, 2021)
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
MSRB A-11 requires the payment of an Annual Municipal Advisor Professional Fee.
Unless subject to the de minimis exception, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or … Continue reading Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 3/31/2022)
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 9/30/2022)
The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of … Continue reading 2022 FINRA Annual Conference
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 4/30/22)
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 … Continue reading Monthly Net Capital Computation (Month ending 4/30/2022)
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 Memorial Day (3 p.m. early close)
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 October 31, 2021)
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 – Memorial Day
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 March 31, 2022)
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 3/31/2022)
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 – Juneteenth
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 5/31/22)
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 … Continue reading Monthly Net Capital Computation (Month ending 5/31/2022)
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 4/30/2022)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending April 30, 2022)
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 November 30, 2021)
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 – Day before Independence Day (1 p.m. early close)
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 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
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 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 … Continue reading Monthly Net Capital Computation (Month 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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 6/30/2022)
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 6/30/2022)
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 6/30/22)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 6/30/2022)
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, 2021)
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, 2022)
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
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 5/31/2022)
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 … Continue reading Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 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 … Continue reading Monthly Net Capital Computation (Month ending 7/31/2022)
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 7/31/22)
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 6/30/2022)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending June 30, 2022)
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 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
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 8/31/2022)
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 8/31/22)
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 7/31/2022)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending July 31, 2022)
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
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 2022)
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 … Continue reading NSCP National Conference
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 9/30/2022)
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 … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 9/30/2022)
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 9/30/22)
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 9/30/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to … Continue reading SIPC 7 Assessment (Fiscal year ending August 31, 2022)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 9/30/2022)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 8/31/2022)
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
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 … Continue reading Annual MSRB Registration Fees Due
Unless subject to the de minimis exception, the Form OBS must be filed by (1) all FINRA member firms that self-clear their proprietary transactions or clear transactions for others or … Continue reading Supplemental Schedule of Derivatives and Other Off-Balance Sheet Items (Form OBS) (Quarter ended 9/30/2022)
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 – Day before Thanksgiving 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 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 … Continue reading FINRA Market Early Close – Day after Thanksgiving (1 p.m. early close)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be … Continue reading Monthly Net Capital Computation (Month ending 10/31/2022)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/22)
Members of SIPC are required to pay an assessment on Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment Reconciliation is to … Continue reading SIPC 7 Assessment (Fiscal year ending September 30, 2022)
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)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be … Continue reading Monthly Net Capital Computation (Month ending 11/30/2022)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/22)
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 – 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 … Continue reading FINRA Market Early Close – New Year’s Eve (3 p.m. early close)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 10/31/2022)
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 … Continue reading SIPC 7 Assessment (Fiscal year ending October 31, 2022)
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
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 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 – 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 … Continue reading FINRA Market Holiday – New Year’s Day
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 2022)
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 – Martin Luther King, Jr. Day
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 2022