Renaissance Regulatory Services

Effective Date for amendments establishing the new as-soon-as-practicable trade reporting and related policies and procedures requirements under the Rule G-14 RTRS Procedures and the as-soon-as-practicable submission for comparison requirement under Rule G-12(f)
2026-07-01 00:00 - 2026-07-02 00:00 (America/New_York)

First Day to File Form G-37 for Quarter Ending June 30
2026-07-01 00:00 - 2026-07-02 00:00

Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review
2026-07-20 - 2026-07-21

Last Day to File Form G-37 for Quarter Ending June 30
2026-07-31 00:00 - 2026-08-01 00:00

Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period Ending June 30
2026-08-29 00:00 - 2026-08-30 00:00

First Day to File G-37 for Quarter Ending September 30
2026-10-01 00:00 - 2026-10-02 00:00

Last Day to File G-37 for Quarter ending September 30
2026-10-31 00:00 - 2026-11-01 00:00, 2026-10-31 - 2026-11-01

Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
2026-10-31 00:00 - 2026-11-01 00:00, 2026-10-31 - 2026-11-01

Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members
2026-12-01 - 2026-12-02

Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
2026-12-30 00:00 - 2026-12-31 00:00, 2026-12-30 - 2026-12-31

End of 529 Underwriting Assessment Reporting Period
2026-12-31 00:00 - 2027-01-01 00:00, 2026-12-31 - 2027-01-01

Last Day for Municipal Advisors to Complete Annual CEO Certification
2026-12-31 00:00 - 2027-01-01 00:00, 2026-12-31 - 2027-01-01

Last Day to Complete Annual Municipal Advisor Continuing Education
2026-12-31 00:00 - 2027-01-01 00:00, 2026-12-31 - 2027-01-01

Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
2026-12-31 00:00 - 2027-01-01 00:00, 2026-12-31 - 2027-01-01

First Day of Form A-12 Annual Affirmation Period
2027-01-01 00:00 - 2027-01-02 00:00, 2027-01-01 - 2027-01-02

First Day to File Form G-37 for Quarter Ending December 31
2027-01-01 00:00 - 2027-01-02 00:00, 2027-01-01 - 2027-01-02

Last Day of Form A-12 Annual Affirmation Period
2027-01-31 00:00 - 2027-02-01 00:00, 2027-01-31 - 2027-02-01

Last Day to File Form G-37 for Quarter Ending Dec 31
2027-01-31 00:00 - 2027-02-01 00:00, 2027-01-31 - 2027-02-01

Rule A-11 Annual Municipal Advisor Professional Fee Assessed
2027-01-31 00:00 - 2027-02-01 00:00
