Events
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First Day of Form A-12 Annual Affirmation Period
First Day of Form A-12 Annual Affirmation Period When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all day Upcoming Fri, Jan 1, 2027, all day Sat, Jan 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:58 2026-06-03 15:30:58 First Day of Form A-12 Annual Affirmation Period Online MSRB msrb@msrb.org America/New_York public
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/First-Day-Form-A-12-Annual-Affirmation-Period-0
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First Day to File Form G-37 for Quarter Ending December 31
First Day to File Form G-37 for Quarter Ending December 31 When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all day Upcoming Fri, Jan 1, 2027, all day Sat, Jan 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:58 2026-06-03 15:30:58 First Day to File Form G-37 for Quarter Ending December 31 Online MSRB msrb@msrb.org America/New_York public
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/First-Day-File-Form-G-37-Quarter-Ending-December-31
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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/375971/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376171/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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FOCUS Schedule I Filings Due
SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376151/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376141/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376271/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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