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/376036/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/376126/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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/376106/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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/375976/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period When Annually on the 1st of March All day Recent Sat, Mar 1, 2025, all day Sun, Mar 1, 2026, all day Upcoming Mon, Mar 1, 2027, all day Wed, Mar 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:03 2026-06-03 15:31:03 Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period Online MSRB msrb@msrb.org America/New_York public
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/Last-Day-Submit-Form-G-45-Report-Semi-Annual-Reporting-Period
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/376276/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/376281/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
First Day to File Form G-37 for Quarter Ending March 31 When Annually on the 1st of April All day Recent Tue, Apr 1, 2025, all day Wed, Apr 1, 2026, all day Upcoming Thu, Apr 1, 2027, all day Sat, Apr 1, 2028, all day Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:59 2026-06-03 15:30:59 First Day to File Form G-37 for Quarter Ending March 31 MSRB msrb@msrb.org America/New_York public
Regulated Entity: All MSRB Registered Firms
Source: https://www.msrb.org/events/First-Day-File-Form-G-37-Quarter-Ending-March-31-1