SIS Filings Due
2026-09-29 - 2026-09-30, 2026-10-29 - 2026-10-30, 2026-12-01 - 2026-12-02

First Day to File G-37 for Quarter Ending September 30
2026-10-01 00:00 - 2026-10-02 00:00 (America/New_York)

SLS Filings Due
2026-10-05 - 2026-10-06, 2026-11-04 - 2026-11-05, 2026-12-07 - 2026-12-08

EDGAR Closed - Columbus Day
2026-10-12 00:00 - 2026-10-13 00:00

2026 FINRA Advertising Regulation Conference
2026-10-15 - 2026-10-17

FOCUS Part II/IIA - Quarterly Filings Due
2026-10-26 - 2026-10-27

Form Custody Filings Due
2026-10-26 - 2026-10-27

2026 Small Firm Conference
2026-10-27 - 2026-10-29

SSOI Filings Due
2026-10-29 - 2026-10-30

Annual Reports Due
2026-10-29 - 2026-10-30, 2026-11-30 - 2026-12-01

Last Day to File G-37 for Quarter ending September 30
2026-10-31 00:00 - 2026-11-01 00:00, 2026-10-31 - 2026-11-01

Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
2026-10-31 00:00 - 2026-11-01 00:00, 2026-10-31 - 2026-11-01

Form OBS Filings Due
2026-11-02 - 2026-11-03

EDGAR Closed - Veterans Day
2026-11-11 00:00 - 2026-11-12 00:00, 2026-11-11 - 2026-11-12

FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II
2026-11-15 - 2026-11-21

FOCUS Part II/IIA - Monthly Filings Due
2026-11-25 - 2026-11-26, 2026-12-23 - 2026-12-24

EDGAR Closed - Thanksgiving Day
2026-11-26 00:00 - 2026-11-27 00:00, 2026-11-26 - 2026-11-27

Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members
2026-12-01 - 2026-12-02

EDGAR Closed - Christmas Day
2026-12-25 00:00 - 2026-12-26 00:00, 2026-12-25 - 2026-12-26
