FINRA

FINRA’s premier event—the Annual Conference creates an environment for member firms to learn from FINRA staff and connect with industry peers. This forum is designed to provide practical guidance and critical insights on trending regulatory and compliance topics which, in turn, aims to increase investor protection. Firms can expect to hear how to prepare and adapt to regulatory changes and refine and strengthen compliance practices, all while participating in various opportunities to build their network of industry professionals.
Learn more: https://www.finra.org/events-training/conferences-events/2026-annual-conference
This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

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.
Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

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.
Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.
Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
This information is provided as a convenience to firms and may not be a complete listing of all of a firm'sregulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.