Last Day to File G-37 for Quarter ending September 30 When Annually on the 31st of October All day Recent Fri, Oct 31, 2025, all day Upcoming Sat, Oct 31, 2026, all day Sun, Oct 31, 2027, all day Regulated Entity All MSRB Registered Firms
Regulated Entity: All MSRB Registered Firms
Source: https://www.msrb.org/events/Last-Day-File-G-37-Quarter-ending-September-30-1
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/376101/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/375961/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Veterans Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar
The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.
The CRCP® program is delivered in partnership with the McDonough School of Business at Georgetown University and comprises two non-consecutive weeklong residential courses, in addition to extensive pre-course readings and casework. The CRCP certificate is awarded to those who successfully complete the program within a two-year period.
FINRA Category: Conferences and Events
Add to Calendar: https://www.finra.org/calendar/ical/377941/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/376201/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Thanksgiving Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-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/376261/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar