Events

Events Search and Views Navigation

Event Views Navigation

Today

  • FINRA Crypto Applied Learning Program at Georgetown University

    FINRA's Crypto and Blockchain Education Program equips financial professionals with comprehensive, practical knowledge to understand and navigate crypto assets and blockchain technology. The in-person applied learning course, delivered in partnership with Georgetown University's McDonough School of Business, provides an immersive, hands-on experience that transforms foundational learning into actionable knowledge.

    The multiday in-person course combines expert instruction, interactive discussions, case studies, and hands-on scenarios designed to deepen your understanding and increase knowledge retention.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381121/calendar.ics

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

  • SR-FINRA-2025-017

    Rule Filing Status: Approved

    A proposed rule change to amend FINRA Rule 4210 to replace its current day trading margin provisions with modern intraday margin standards. As such, the proposed rule change would eliminate paragraph (f)(8)(B) under Rule 4210 together with associated provisions relating to the day trading margin requirements under paragraphs (b), (f)(10) and (g)(13), would establish new paragraphs (a)(17) through (a)(19), new paragraph (d)(2) and new paragraphs (g)(1)(J) and (g)(1)(K), and would make minor conforming amendments.

    FINRA Category: Rule Filings

    Add to Calendar: https://www.finra.org/calendar/ical/381106/calendar.ics

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

  • 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/375936/calendar.ics

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

  • 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.

    FINRA Category: Regulatory Filings

    Add to Calendar: https://www.finra.org/calendar/ical/376186/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/375996/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/376236/calendar.ics

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