Events
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Last Day of Form A-12 Annual Affirmation Period
Last Day of Form A-12 Annual Affirmation Period When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:00 2026-06-03 15:31:00 Last 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/Last-Day-Form-A-12-Annual-Affirmation-Period-0
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Last Day to File Form G-37 for Quarter Ending Dec 31
Last Day to File Form G-37 for Quarter Ending Dec 31 When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Where Online Regulated Entity All MSRB Registered Firms
Regulated Entity: All MSRB Registered Firms
Where: Online
Source: https://www.msrb.org/events/Last-Day-File-Form-G-37-Quarter-Ending-Dec-31
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Rule A-11 Annual Municipal Advisor Professional Fee Assessed
Rule A-11 Annual Municipal Advisor Professional Fee Assessed When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day Upcoming Sun, Jan 31, 2027, all day Mon, Jan 31, 2028, all day Regulated Entity Municipal Advisor Add to Calendar 2026-06-03 15:31:05 2026-06-03 15:31:05 Rule A-11 Annual Municipal Advisor Professional Fee Assessed MSRB msrb@msrb.org America/New_York public
Regulated Entity: Municipal Advisor
Source: https://www.msrb.org/events/Rule-A-11-Annual-Municipal-Advisor-Professional-Fee-Assessed-0
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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/376036/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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SSOI Filings Due
FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.
FINRA Category: Regulatory Filings
Add to Calendar: https://www.finra.org/calendar/ical/376126/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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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/376106/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/375976/calendar.ics
Source: https://www.finra.org/compliance-tools/compliance-calendar
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