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2 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/376266/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/376031/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
4 events,Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls When Annually on the 30th of December All day Recent Tue, Dec 30, 2025, all day Upcoming Wed, Dec 30, 2026, all day Thu, Dec 30, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer Regulated Entity: Broker, Dealer or Municipal Securities Dealer Source: https://www.msrb.org/events/Last-Day-Dealers-Complete-Annual-Review-and-Testing-Supervisory-Controls-1 |
10 events,End of 529 Underwriting Assessment Reporting Period When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity All MSRB Registered Firms Regulated Entity: All MSRB Registered Firms Source: https://www.msrb.org/events/End-529-Underwriting-Assessment-Reporting-Period-0 Last Day for Municipal Advisors to Complete Annual CEO Certification When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer Regulated Entity: Broker, Dealer or Municipal Securities Dealer Source: https://www.msrb.org/events/Last-Day-Municipal-Advisors-Complete-Annual-CEO-Certification-1 Last Day to Complete Annual Municipal Advisor Continuing Education When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity Municipal Advisor Regulated Entity: Municipal Advisor Source: https://www.msrb.org/events/Last-Day-Complete-Annual-Municipal-Advisor-Continuing-Education-1 Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026, all day Fri, Dec 31, 2027, all day Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:01 2026-06-03 15:31:01 Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals MSRB msrb@msrb.org America/New_York public Regulated Entity: All MSRB Registered Firms Source: https://www.msrb.org/events/Last-Day-Complete-Regulatory-Element-Content-Municipal-Securities-Representatives-and-0 |
12 events,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 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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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/375971/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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3 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/376171/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar 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 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 |
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/376271/calendar.ics Source: https://www.finra.org/compliance-tools/compliance-calendar |
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6 events,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 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 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 |