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  • 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/375956/calendar.ics

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

  • 2026 FINRA Advertising Regulation Conference

    FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies. The conference also provides the opportunity to network with industry peers, participate in advertising review workshops, attend technology demos, and meet one-on-one with Advertising Regulation Department staff.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/377951/calendar.ics

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

  • FOCUS Part II/IIA – Quarterly Filings Due

    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/376166/calendar.ics

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

  • Form Custody Filings Due

    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/376146/calendar.ics

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

  • 2026 Small Firm Conference

    The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/377936/calendar.ics

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

  • Annual Reports Due

    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/376256/calendar.ics

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

  • SIS Filings Due

    FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.

    FINRA Category: Regulatory Filings

    Add to Calendar: https://www.finra.org/calendar/ical/376021/calendar.ics

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

  • SSOI Filings Due

    FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

    FINRA Category: Regulatory Filings

    Add to Calendar: https://www.finra.org/calendar/ical/376121/calendar.ics

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