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- Category: Renaissance Regulatory Services
Events
- Last Day to Submit EDGAR Confirmation for Those With a 6/30 Deadline
- 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
- 2026 FINRA Advertising Regulation Conference
- FOCUS Part II/IIA - Quarterly Filings Due
- Form Custody Filings Due
- 2026 Small Firm Conference
- FOCUS Part II/IIA - Monthly Filings Due
- Annual Reports Due
- SIS Filings Due
- SLS Filings Due
- SIS Filings Due
- Annual Reports Due
- SLS Filings Due
- Form OBS Filings Due
- SLS Filings Due
- 2026 Financial Crimes and Cybersecurity Conference
- FOCUS Part II/IIA - Monthly Filings Due
- Form Custody Filings Due
- Annual Reports Due
- SIS Filings Due
- SSOI Filings Due
- AI Adoption in Practice Webinar Series
- SLS Filings Due
- FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week I
- Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review
- FOCUS Part II/IIA - Quarterly Filings Due
- FOCUS Part II/IIA - Monthly Filings Due
- Annual Reports Due
- SIS Filings Due
- 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
- EDGAR Closed - Labor Day
- First Day to File G-37 for Quarter Ending September 30
- EDGAR Closed - Columbus Day
- 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
- Effective Date for amendments establishing the new as-soon-as-practicable trade reporting and related policies and procedures requirements under the Rule G-14 RTRS Procedures and the as-soon-as-practicable submission for comparison requirement under Rule G-12(f)
- First Day to File Form G-37 for Quarter Ending June 30
- EDGAR Closed - Independence Day
- EDGAR Closed - Juneteenth