Events
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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.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376101/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/375961/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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EDGAR Closed – Veterans Day
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Veterans Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar -
FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II
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/377941/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376201/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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EDGAR Closed – Thanksgiving Day
EDGAR closure date from SEC EDGAR Calendar.
Holiday: Thanksgiving Day
Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar