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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/375941/calendar.ics

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

  • FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week I

    The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.

    The CRCP® program is delivered in partnership with the McDonough School of Business at Georgetown University and comprises two non-consecutive weeklong residential courses, in addition to extensive pre-course readings and casework. The CRCP certificate is awarded to those who successfully complete the program within a two-year period.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/377931/calendar.ics

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

  • Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review

    Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review When Mon, Jul 20, 2026, all day See: MSRB Notice 2026-03 - Request for Comment Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:57 2026-06-03 15:30:57 Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review See: MSRB Notice 2026-03 - Request for Comment MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/Final-Day-Comment-Draft-Amendments-MSRB-Rules-Retire-Financial-Advisor-Terminology-Pursuant

  • FOCUS Part II/IIA – Quarterly 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/376161/calendar.ics

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

  • Form Custody Filings Due

    SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

    FINRA Category: Regulatory Filings

    Add to Calendar: https://www.finra.org/calendar/ical/376136/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/376006/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/376241/calendar.ics

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