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2 events,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/376166/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar 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/376146/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
3 events,The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff. FINRA Category: Conferences and Events Add to Calendar: https://www.finra.org/calendar/ical/377936/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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4 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/376256/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/376021/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/376121/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
4 events,Last Day to File G-37 for Quarter ending September 30 When Annually on the 31st of October All day Recent Fri, Oct 31, 2025, all day Upcoming Sat, Oct 31, 2026, all day Sun, Oct 31, 2027, all day Regulated Entity All MSRB Registered Firms Regulated Entity: All MSRB Registered Firms Source: https://www.msrb.org/events/Last-Day-File-G-37-Quarter-ending-September-30-1 Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12 When Annually on the 31st of October All day Recent Fri, Oct 31, 2025, all day Upcoming Sat, Oct 31, 2026, all day Sun, Oct 31, 2027, all day Regulated Entity All MSRB Registered Firms Regulated Entity: All MSRB Registered Firms Source: https://www.msrb.org/events/Last-Day-Make-Timely-Payment-Annual-Registration-Fee-Under-Rule-A-12-2 |
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1 event,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/376101/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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1 event,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/375961/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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2 events,EDGAR closure date from SEC EDGAR Calendar. Holiday: Veterans Day |
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1 event,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 |
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1 event,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 |
3 events,EDGAR closure date from SEC EDGAR Calendar. Holiday: Thanksgiving Day |
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1 event,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 |
3 events,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 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 |
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