Renaissance Regulatory Services

First Day to File Form G-37 for Quarter Ending March 31
2026-04-01 00:00 - 2026-04-02 00:00 (America/New_York)

FINRA 3130 Certification
2026-04-02 09:00
Annual supervisory controls testing and CEO Certification is due! Report to Board of Directors due within 45 days of execution.

4530/Customer Complaint Quarterly Reporting
2026-04-15
If the due date falls on a weekend or holiday then it is due on the first business day.

FINRA 4530 Complaint Filing
2026-04-15 09:00 - 23:30
Quarterly filings are due today.

Last Day to File Form G-37 for Quarter Ending March 31
2026-04-30 00:00 - 2026-05-01 00:00

Rule A-11 Annual Municipal Advisor Fee Due
2026-04-30 00:00 - 2026-05-01 00:00

Deadline for Comments on Regulatory Notice 26-06
2026-05-01

529 Underwriting Assessment Invoiced
2026-05-01 00:00 - 2026-05-02 00:00

Annual Reports Due
2026-05-01 - 2026-05-02, 2026-05-29 - 2026-05-30, 2026-06-29 - 2026-06-30

SLS Filings Due
2026-05-04 - 2026-05-05, 2026-06-04 - 2026-06-05, 2026-07-06 - 2026-07-07

2026 NASAA Public Policy Symposium
2026-05-05 00:00 - 2026-05-06 00:00

2026 Annual Conference
2026-05-12 - 2026-05-14

EDGAR Closed - Memorial Day
2026-05-25 00:00 - 2026-05-26 00:00

FOCUS Part II/IIA - Monthly Filings Due
2026-05-26 - 2026-05-27, 2026-06-24 - 2026-06-25

SIS Filings Due
2026-05-29 - 2026-05-30, 2026-06-29 - 2026-06-30

Last Day to Submit Payments for 529 Underwriting Assessment
2026-05-31 00:00 - 2026-06-01 00:00

From Red Flags to Real Results: How Regulators and Firms Stop Elder Financial Exploitation
2026-06-02 - 2026-06-03

FINRA Crypto Applied Learning Program at Georgetown University
2026-06-02 - 2026-06-05

SR-FINRA-2025-017
2026-06-04 - 2026-06-05

EDGAR Closed - Juneteenth
2026-06-19 00:00 - 2026-06-20 00:00

Last Day to Submit EDGAR Confirmation for Those With a 6/30 Deadline
2026-06-30

Effective Date for amendments establishing the new as-soon-as-practicable trade reporting and related policies and procedures requirements under the Rule G-14 RTRS Procedures and the as-soon-as-practicable submission for comparison requirement under Rule G-12(f)
2026-07-01 00:00 - 2026-07-02 00:00

First Day to File Form G-37 for Quarter Ending June 30
2026-07-01 00:00 - 2026-07-02 00:00

EDGAR Closed - Independence Day
2026-07-03 00:00 - 2026-07-04 00:00
