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
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
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
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
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