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  • Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review

    Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review When Mon, Jul 20, 2026, all day See: MSRB Notice 2026-03 - Request for Comment Regulated Entity All MSRB Registered Firms Add to Calendar 2026-06-03 15:30:57 2026-06-03 15:30:57 Final Day to Comment on Draft Amendments to MSRB Rules to Retire Financial Advisor Terminology Pursuant to the MSRB’s Municipal Advisor Retrospective Rule Review See: MSRB Notice 2026-03 - Request for Comment MSRB msrb@msrb.org America/New_York public

    Regulated Entity: All MSRB Registered Firms

    Source: https://www.msrb.org/events/Final-Day-Comment-Draft-Amendments-MSRB-Rules-Retire-Financial-Advisor-Terminology-Pursuant

  • FOCUS Part II/IIA – Quarterly Filings Due

    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/376161/calendar.ics

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

  • Form Custody Filings Due

    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/376136/calendar.ics

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

  • 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/376006/calendar.ics

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

  • 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/376116/calendar.ics

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

  • AI Adoption in Practice Webinar Series

    Join FINRA staff and member firms for conversations about artificial intelligence (AI) adoption in the securities industry. This virtual three-part series brings regulatory experts and practitioners together to share real experiences and practical solutions.

    These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

    FINRA Category: Conferences and Events

    Add to Calendar: https://www.finra.org/calendar/ical/381126/calendar.ics

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

  • 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/376241/calendar.ics

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

  • 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/376096/calendar.ics

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

  • 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/375946/calendar.ics

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