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2 events,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/376236/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/375996/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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1 event,FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion. FINRA Category: Regulatory Filings Add to Calendar: https://www.finra.org/calendar/ical/375941/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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1 event,The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The CRCP® program is delivered in partnership with the McDonough School of Business at Georgetown University and comprises two non-consecutive weeklong residential courses, in addition to extensive pre-course readings and casework. The CRCP certificate is awarded to those who successfully complete the program within a two-year period. FINRA Category: Conferences and Events Add to Calendar: https://www.finra.org/calendar/ical/377931/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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2 events,SEC-required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules. FINRA Category: Regulatory Filings Add to Calendar: https://www.finra.org/calendar/ical/376161/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable. FINRA Category: Regulatory Filings Add to Calendar: https://www.finra.org/calendar/ical/376136/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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4 events,Join FINRA staff and member firms for conversations about artificial intelligence (AI) adoption in the securities industry. This virtual three-part series brings regulatory experts and practitioners together to share real experiences and practical solutions. These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering. FINRA Category: Conferences and Events Add to Calendar: https://www.finra.org/calendar/ical/381126/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar 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/376241/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/376006/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/376116/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
1 event,FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount. FINRA Category: Regulatory Filings Add to Calendar: https://www.finra.org/calendar/ical/376096/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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