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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.

    Category: Regulatory Filings
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    ICS: https://www.finra.org/calendar/ical/376231/calendar.ics

  • 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.

    Category: Regulatory Filings
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    ICS: https://www.finra.org/calendar/ical/376091/calendar.ics

  • Deadline for Comments on Regulatory Notice 26-06

    FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes

    Category: Request For Comments
    Learn more: https://www.finra.org/rules-guidance/notices/26-06
    ICS: https://www.finra.org/calendar/ical/378541/calendar.ics

  • 2026 Annual Conference

    FINRA’s premier event—the Annual Conference creates an environment for member firms to learn from FINRA staff and connect with industry peers. This forum is designed to provide practical guidance and critical insights on trending regulatory and compliance topics which, in turn, aims to increase investor protection. Firms can expect to hear how to prepare and adapt to regulatory changes and refine and strengthen compliance practices, all while participating in various opportunities to build their network of industry professionals.

    Category: Conferences and Events
    Learn more: https://www.finra.org/events-training/conferences-events/2026-annual-conference
    ICS: https://www.finra.org/calendar/ical/377926/calendar.ics

  • 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.

    Category: Regulatory Filings
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    ICS: https://www.finra.org/calendar/ical/375931/calendar.ics

  • 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.

    Category: Regulatory Filings
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    ICS: https://www.finra.org/calendar/ical/375991/calendar.ics

  • FOCUS Part II/IIA – Monthly 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.

    Category: Regulatory Filings
    Learn more: https://www.finra.org/rules-guidance/notices/information-notice-20251110
    ICS: https://www.finra.org/calendar/ical/376181/calendar.ics