Renaissance Regulatory Services

Last Day to Complete Annual Municipal Advisor Continuing Education
2025-12-31 00:00 - 2026-01-01 00:00 (America/New_York)

Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
2025-12-31 00:00 - 2026-01-01 00:00

EDGAR Closed - New Year's Day
2026-01-01 00:00 - 2026-01-02 00:00

First Day of Form A-12 Annual Affirmation Period
2026-01-01 00:00 - 2026-01-02 00:00

First Day to File Form G-37 for Quarter Ending December 31
2026-01-01 00:00 - 2026-01-02 00:00

EDGAR Closed - Birthday of Martin Luther King, Jr.
2026-01-19 00:00 - 2026-01-20 00:00

Last Day of Form A-12 Annual Affirmation Period
2026-01-31 00:00 - 2026-02-01 00:00

Last Day to File Form G-37 for Quarter Ending Dec 31
2026-01-31 00:00 - 2026-02-01 00:00

Rule A-11 Annual Municipal Advisor Professional Fee Assessed
2026-01-31 00:00 - 2026-02-01 00:00

Final Day to Comment on Rule D-15 Defining the Term Sophisticated Municipal Market Professional (SMMP)
2026-02-02 00:00 - 2026-02-03 00:00

EDGAR Closed - Washington's Birthday
2026-02-16 00:00 - 2026-02-17 00:00

Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period
2026-03-01 00:00 - 2026-03-02 00:00

Final Day to Comment on MSRB Rule G-27 on Dealer Supervision
2026-03-16 00:00 - 2026-03-17 00:00

FOCUS Part II/IIA – Monthly Filings Due
2026-03-24

SIS Filings Due
2026-03-27

Annual ADV Update
2026-03-31
If the due date falls on a weekend or holiday then it is due on the first business day.
90 calendar days after FYE.

Annual Reports Due
2026-03-31, 2026-05-01 - 2026-05-02

Form MA Filing (FYE 12/31)
2026-03-31

First Day to File Form G-37 for Quarter Ending March 31
2026-04-01 00:00 - 2026-04-02 00:00

FINRA 3130 Certification
2026-04-02 09:00
Annual supervisory controls testing and CEO Certification is due! Report to Board of Directors due within 45 days of execution.

4530/Customer Complaint Quarterly Reporting
2026-04-15
If the due date falls on a weekend or holiday then it is due on the first business day.

FINRA 4530 Complaint Filing
2026-04-15 09:00 - 23:30
Quarterly filings are due today.

Last Day to File Form G-37 for Quarter Ending March 31
2026-04-30 00:00 - 2026-05-01 00:00

Rule A-11 Annual Municipal Advisor Fee Due
2026-04-30 00:00 - 2026-05-01 00:00

Deadline for Comments on Regulatory Notice 26-06
2026-05-01

529 Underwriting Assessment Invoiced
2026-05-01 00:00 - 2026-05-02 00:00

SLS Filings Due
2026-05-04 - 2026-05-05

2026 NASAA Public Policy Symposium
2026-05-05 00:00 - 2026-05-06 00:00

2026 Annual Conference
2026-05-12 - 2026-05-14
