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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

  • 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

  • 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

  • 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/376261/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/376026/calendar.ics

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

  • Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members

    Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members When Tue, Dec 1, 2026, all day See MSRB Notice 2026-04 Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:57 2026-06-03 15:30:57 Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members See MSRB Notice 2026-04 MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/Effective-Date-Amendments-Rule-G-20-Municipal-Advisors-and-Dealers-Are-Not-FINRA-Members

  • 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