Dealer or Municipal Securities Dealer

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

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

529 Underwriting Assessment Invoiced When Annually on the 1st of May All day Recent Thu, May 1, 2025, all day Fri, May 1, 2026, all day Upcoming Sat, May 1, 2027, all day Mon, May 1, 2028, all day Regulated Entity Broker, Dealer or Municipal Securities Dealer

Regulated Entity: Broker, Dealer or Municipal Securities Dealer

Source: https://www.msrb.org/events/529-Underwriting-Assessment-Invoiced-2

Last Day to Submit Payments for 529 Underwriting Assessment When Annually on the 31st of May All day Recent Sat, May 31, 2025, all day Sun, May 31, 2026, all day Upcoming Mon, May 31, 2027, all day Wed, May 31, 2028, 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-Submit-Payments-529-Underwriting-Assessment-1