Events

Events Search and Views Navigation

Event Views Navigation

Today

  • 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/375966/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/376206/calendar.ics

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

  • EDGAR Closed – Christmas Day

    EDGAR closure date from SEC EDGAR Calendar.

    Holiday: Christmas Day
    Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-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/376266/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/376031/calendar.ics

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

  • Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls

    Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls When Annually on the 30th of December All day Recent Tue, Dec 30, 2025, all day Upcoming Wed, Dec 30, 2026, all day Thu, Dec 30, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer

    Regulated Entity: Broker, Dealer or Municipal Securities Dealer

    Source: https://www.msrb.org/events/Last-Day-Dealers-Complete-Annual-Review-and-Testing-Supervisory-Controls-1