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Posts by category
- Category: Renaissance Regulatory Services
- SEC Proposed Custody Rule Amendments: Modernizing Custody for an Evolving Financial Landscape
- Top Five AML Testing Failures – The Penny Stock Edition
- IA Annual Compliance Reviews – SEC Risk Alert
- Financial Crimes – Common Scams and Ways to Fight Back
- Summertime is Here! Compliance Can Keep You Cool!
- Regulation S-P: Next Steps for Investment Advisers
- Strengthening Your Broker-Dealer Compliance Program with Support from RRS
- How RRS Helps Firms Build an Investment Adviser Compliance Program
Events
- Submit Filings Before 6 p.m. ET
- Ensure Full Payment Is Available in the Firm's Renewal Account or Flex-Funding Account by This Date
- Retrieve (and Schedule Payment for) the Preliminary Statement in E-Bill
- Begin Preparing Post-Dated Forms U5 and BR Closing/Withdrawal Filings
- Extended deadline: Annual FINRA Entitlement Certification
- Last Day to Submit Payments for 529 Underwriting Assessment
- Annual Reports Due
- First Day to File Form G-37 for Quarter Ending March 31
- Last Day to File Form G-37 for Quarter Ending March 31
- Rule A-11 Annual Municipal Advisor Fee Due
- 529 Underwriting Assessment Invoiced
- SSOI Filings Due
- Form OBS Filings Due
- SLS Filings Due
- Annual Reports Due
- Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period
- Annual Reports Due
- Last Day of Form A-12 Annual Affirmation Period
- Last Day to File Form G-37 for Quarter Ending Dec 31
- Rule A-11 Annual Municipal Advisor Professional Fee Assessed
- SIS Filings Due
- First Day to File Form G-37 for Quarter Ending December 31
- SLS Filings Due
- FOCUS Part II/IIA - Quarterly Filings Due
- FOCUS Schedule I Filings Due
- Form Custody Filings Due
- End of 529 Underwriting Assessment Reporting Period
- Last Day for Municipal Advisors to Complete Annual CEO Certification
- Last Day to Complete Annual Municipal Advisor Continuing Education
- Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
- First Day of Form A-12 Annual Affirmation Period
- FOCUS Part II/IIA - Monthly Filings Due
- EDGAR Closed - Christmas Day
- Annual Reports Due
- SIS Filings Due
- Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
- EDGAR Closed - Thanksgiving Day
- Annual Reports Due
- SIS Filings Due
- Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members
- SLS Filings Due
- Form OBS Filings Due
- SLS Filings Due
- EDGAR Closed - Veterans Day
- FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II
- FOCUS Part II/IIA - Monthly Filings Due
- Annual Reports Due
- SIS Filings Due
- SSOI Filings Due
- Last Day to File G-37 for Quarter ending September 30
- Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
- FOCUS Part II/IIA - Quarterly Filings Due
- Form Custody Filings Due
- 2026 Small Firm Conference
- First Day of Form A-12 Annual Affirmation Period
- First Day to File Form G-37 for Quarter Ending December 31
- Last Day to Complete Annual Municipal Advisor Continuing Education
- Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
- End of 529 Underwriting Assessment Reporting Period
- Last Day for Municipal Advisors to Complete Annual CEO Certification
- Last Day to File G-37 for Quarter ending September 30
- Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
- Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
- Last Day to File Form G-37 for Quarter Ending June 30
- Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period Ending June 30
- First Day to File G-37 for Quarter Ending September 30
- Last Day to Submit Payments for 529 Underwriting Assessment
- First Day to File Form G-37 for Quarter Ending June 30
- Last Day to File Form G-37 for Quarter Ending March 31
- Rule A-11 Annual Municipal Advisor Fee Due
- 529 Underwriting Assessment Invoiced
- Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period
- First Day to File Form G-37 for Quarter Ending March 31
- Last Day of Form A-12 Annual Affirmation Period
- Last Day to File Form G-37 for Quarter Ending Dec 31
- Rule A-11 Annual Municipal Advisor Professional Fee Assessed
- First Day of Form A-12 Annual Affirmation Period
- First Day to File Form G-37 for Quarter Ending December 31
- Last Day for Municipal Advisors to Complete Annual CEO Certification
- Last Day to Complete Annual Municipal Advisor Continuing Education
- Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
- Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
- End of 529 Underwriting Assessment Reporting Period
- EDGAR Closed - Thanksgiving Day
- EDGAR Closed - Christmas Day
- Last Day to File G-37 for Quarter ending September 30
- Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
- EDGAR Closed - Veterans Day