SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376151/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376141/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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/376171/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/376271/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
Rule A-11 Annual Municipal Advisor Professional Fee Assessed When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Regulated Entity Municipal Advisor Add to Calendar 2026-06-03 15:31:05 2026-06-03 15:31:05 Rule A-11 Annual Municipal Advisor Professional Fee Assessed MSRB msrb@msrb.org America/New_York public
Regulated Entity: Municipal Advisor
Source: https://www.msrb.org/events/Rule-A-11-Annual-Municipal-Advisor-Professional-Fee-Assessed-0
Last Day of Form A-12 Annual Affirmation Period When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:00 2026-06-03 15:31:00 Last 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/Last-Day-Form-A-12-Annual-Affirmation-Period-0
Last Day to File Form G-37 for Quarter Ending Dec 31 When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/Last-Day-File-Form-G-37-Quarter-Ending-Dec-31