EDGAR Closed – Christmas Day
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Christmas Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar
10 events found.
Events
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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/376266/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376031/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls When Annually on the 30th of December All day Recent Tue, Dec 30, 2025, all day Upcoming Wed, Dec 30, 2026, all day Thu, Dec 30, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer
Regulated Entity: Broker, Dealer or Municipal Securities Dealer
Source: https://www.msrb.org/events/Last-Day-Dealers-Complete-Annual-Review-and-Testing-Supervisory-Controls-1
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Last Day for Municipal Advisors to Complete Annual CEO Certification
Last Day for Municipal Advisors to Complete Annual CEO Certification When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer
Regulated Entity: Broker, Dealer or Municipal Securities Dealer
Source: https://www.msrb.org/events/Last-Day-Municipal-Advisors-Complete-Annual-CEO-Certification-1