FINRA

Name: EDGAR Closed – Independence Day
Start: 2026-07-03T00:00:00-04:00
End: 2026-07-04T00:00:00-04:00

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0 events 1 0 events, 1	2 events 2 2 events, 2 2026-06-02 FINRA Crypto Applied Learning Program at Georgetown University FINRA Crypto Applied Learning Program at Georgetown University June 2 - June 5 FINRA Crypto Applied Learning Program at Georgetown University FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge. The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention. FINRA Category: Conferences and Events Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar 2026-06-02 From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation June 2 - June 3 From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation This panel brings together regulators and FINRA member firms to explore how regulatory tools and firm-level action can work together to protect senior investors. Regulators share what they are seeing including common red flags, examination findings and expectations around documentation, escalation and reporting. FINRA member firms provide real-world success stories demonstrating how the Trusted Contact Person Rule and FINRA Rule 2165 have prevented harms, stopped scams and ultimately strengthened client relationships. FINRA Category: Conferences and Events Add to Calendar: https://www.finra.org/calendar/ical/381116/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar	2 events 3 2 events, 3 2026-06-02 FINRA Crypto Applied Learning Program at Georgetown University 2026-06-02 From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation	3 events 4 3 events, 4 2026-06-02 FINRA Crypto Applied Learning Program at Georgetown University 2026-06-04 SLS Filings Due SLS Filings Due June 4 - June 5 SLS Filings Due 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/375936/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar 2026-06-04 SR-FINRA-2025-017 SR-FINRA-2025-017 June 4 - June 5 SR-FINRA-2025-017 Rule Filing Status: Approved A proposed rule change to amend FINRA Rule 4210 to replace its current day trading margin provisions with modern intraday margin standards. As such, the proposed rule change would eliminate paragraph (f)(8)(B) under Rule 4210 together with associated provisions relating to the day trading margin requirements under paragraphs (b), (f)(10) and (g)(13), would establish new paragraphs (a)(17) through (a)(19), new paragraph (d)(2) and new paragraphs (g)(1)(J) and (g)(1)(K), and would make minor conforming amendments. FINRA Category: Rule Filings Add to Calendar: https://www.finra.org/calendar/ical/381106/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar	3 events 5 3 events, 5 2026-06-02 FINRA Crypto Applied Learning Program at Georgetown University 2026-06-04 SLS Filings Due 2026-06-04 SR-FINRA-2025-017	0 events 6 0 events, 6	0 events 7 0 events, 7
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0 events 22 0 events, 22	0 events 23 0 events, 23	1 event 24 1 event, 24 2026-06-24 FOCUS Part II/IIA – Monthly Filings Due FOCUS Part II/IIA – Monthly Filings Due June 24 - June 25 FOCUS Part II/IIA – Monthly Filings Due 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/376186/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar	1 event 25 1 event, 25 2026-06-24 FOCUS Part II/IIA – Monthly Filings Due	0 events 26 0 events, 26	0 events 27 0 events, 27	0 events 28 0 events, 28
2 events 29 2 events, 29 2026-06-29 Annual Reports Due Annual Reports Due June 29 - June 30 Annual Reports Due 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 2026-06-29 SIS Filings Due SIS Filings Due June 29 - June 30 SIS Filings Due 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	2 events 30 2 events, 30 2026-06-29 Annual Reports Due 2026-06-29 SIS Filings Due