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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/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 |
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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/375971/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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3 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/376171/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year. FINRA Category: Regulatory Filings Add to Calendar: https://www.finra.org/calendar/ical/376151/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/376141/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
1 event,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/376271/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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