Events
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Last Day to File G-37 for Quarter ending September 30
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
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Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12 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-Make-Timely-Payment-Annual-Registration-Fee-Under-Rule-A-12-2
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Form OBS Filings Due
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
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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/375961/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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EDGAR Closed – Veterans Day
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Veterans Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar