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  • 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/376276/calendar.ics

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

  • Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period

    Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period When Annually on the 1st of March All day Recent Sat, Mar 1, 2025, all day Sun, Mar 1, 2026, all day Upcoming Mon, Mar 1, 2027, all day Wed, Mar 1, 2028, all day Where Online Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:31:03 2026-06-03 15:31:03 Last Day to Submit Form G-45 Report for Semi-Annual Reporting 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-Submit-Form-G-45-Report-Semi-Annual-Reporting-Period

  • 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/376281/calendar.ics

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

  • First Day to File Form G-37 for Quarter Ending March 31

    First Day to File Form G-37 for Quarter Ending March 31 When Annually on the 1st of April All day Recent Tue, Apr 1, 2025, all day Wed, Apr 1, 2026, all day Upcoming Thu, Apr 1, 2027, all day Sat, Apr 1, 2028, all day Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:59 2026-06-03 15:30:59 First Day to File Form G-37 for Quarter Ending March 31 MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/First-Day-File-Form-G-37-Quarter-Ending-March-31-1

  • Last Day to File Form G-37 for Quarter Ending March 31

    Last Day to File Form G-37 for Quarter Ending March 31 When Annually on the 30th of April All day Recent Wed, Apr 30, 2025, all day Thu, Apr 30, 2026, all day Upcoming Fri, Apr 30, 2027, all day Sun, Apr 30, 2028, all day Regulated Entity All MSRB Registered Firms

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/Last-Day-File-Form-G-37-Quarter-Ending-March-31-0

  • Rule A-11 Annual Municipal Advisor Fee Due

    Rule A-11 Annual Municipal Advisor Fee Due When Annually on the 30th of April All day Recent Wed, Apr 30, 2025, all day Thu, Apr 30, 2026, all day Upcoming Fri, Apr 30, 2027, all day Sun, Apr 30, 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 Fee Due MSRB msrb@msrb.org America/New_York public

    Regulated Entity: Municipal Advisor

    Source: https://www.msrb.org/events/Rule-A-11-Annual-Municipal-Advisor-Fee-Due-0