SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376266/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376031/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls When Annually on the 30th of December All day Recent Tue, Dec 30, 2025, all day Upcoming Wed, Dec 30, 2026, all day Thu, Dec 30, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer
Regulated Entity: Broker, Dealer or Municipal Securities Dealer
Source: https://www.msrb.org/events/Last-Day-Dealers-Complete-Annual-Review-and-Testing-Supervisory-Controls-1