Events

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/376241/calendar.ics

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

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/376006/calendar.ics

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

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/376116/calendar.ics

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

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/376096/calendar.ics

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

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/375946/calendar.ics

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

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/376191/calendar.ics

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

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/376011/calendar.ics

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

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/376246/calendar.ics

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

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/375951/calendar.ics

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