Last Day to File Form G-37 for Quarter Ending Dec 31 When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/Last-Day-File-Form-G-37-Quarter-Ending-Dec-31
Rule A-11 Annual Municipal Advisor Professional Fee Assessed When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Regulated Entity Municipal Advisor Add to Calendar 2026-06-03 15:31:05 2026-06-03 15:31:05 Rule A-11 Annual Municipal Advisor Professional Fee Assessed MSRB msrb@msrb.org America/New_York public
Regulated Entity: Municipal Advisor
Source: https://www.msrb.org/events/Rule-A-11-Annual-Municipal-Advisor-Professional-Fee-Assessed-0
Last Day of Form A-12 Annual Affirmation Period When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:00 2026-06-03 15:31:00 Last Day of Form A-12 Annual Affirmation Period Online MSRB msrb@msrb.org America/New_York public
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/Last-Day-Form-A-12-Annual-Affirmation-Period-0
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/376036/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376126/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar