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  • Last Day to Complete Annual Municipal Advisor Continuing Education

    Last Day to Complete Annual Municipal Advisor Continuing Education When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity Municipal Advisor

    Regulated Entity: Municipal Advisor

    Source: https://www.msrb.org/events/Last-Day-Complete-Annual-Municipal-Advisor-Continuing-Education-1

  • Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals

    Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:01 2026-06-03 15:31:01 Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/Last-Day-Complete-Regulatory-Element-Content-Municipal-Securities-Representatives-and-0

  • End of 529 Underwriting Assessment Reporting Period

    End of 529 Underwriting Assessment Reporting Period When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity All MSRB Registered Firms

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/End-529-Underwriting-Assessment-Reporting-Period-0

  • Last Day for Municipal Advisors to Complete Annual CEO Certification

    Last Day for Municipal Advisors to Complete Annual CEO Certification When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer

    Regulated Entity: Broker, Dealer or Municipal Securities Dealer

    Source: https://www.msrb.org/events/Last-Day-Municipal-Advisors-Complete-Annual-CEO-Certification-1

  • First Day of Form A-12 Annual Affirmation Period

    First Day of Form A-12 Annual Affirmation Period When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all day Upcoming Fri, Jan 1, 2027, all day Sat, Jan 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:58 2026-06-03 15:30:58 First Day of Form A-12 Annual Affirmation Period Online MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Where: Online

    Source: https://www.msrb.org/events/First-Day-Form-A-12-Annual-Affirmation-Period-0

  • First Day to File Form G-37 for Quarter Ending December 31

    First Day to File Form G-37 for Quarter Ending December 31 When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all day Upcoming Fri, Jan 1, 2027, all day Sat, Jan 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:58 2026-06-03 15:30:58 First Day to File Form G-37 for Quarter Ending December 31 Online MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Where: Online

    Source: https://www.msrb.org/events/First-Day-File-Form-G-37-Quarter-Ending-December-31

  • 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/375971/calendar.ics

    Source: https://www.finra.org/compliance-tools/compliance-calendar