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Posts by category

• Category: Renaissance Regulatory Services
  • Strengthening Your Broker-Dealer Compliance Program with Support from RRS
  • How RRS Helps Firms Build an Investment Adviser Compliance Program

Events

• 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
• Last Day to Submit Payments for 529 Underwriting Assessment
• EDGAR Closed - Juneteenth
• 2026 NASAA Public Policy Symposium
• EDGAR Closed - Memorial Day

Event Categories

• MSRB
• NASAA
• SEC EDGAR