Renaissance Regulatory Services, Inc. helps clients with unique compliance and operational challenges that arise.
Connected through Daisy to 61 other local calendars in Palm Beach.
From publicly posted calendar Checked 4 hours ago
EDGAR Closed – Columbus Day
2026 FINRA Advertising Regulation Conference
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals.…
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…
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…
Extended deadline: Annual FINRA Entitlement Certification
2026 Small Firm Conference
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to…
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…
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…
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…
Last Day to File G-37 for Quarter ending September 30
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,…
Last Day to Make Timely Payment for Annual Registration Fee Under Rule A-12
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…
Begin Preparing Post-Dated Forms U5 and BR Closing/Withdrawal Filings
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…
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…
Retrieve (and Schedule Payment for) the Preliminary Statement in E-Bill
EDGAR Closed – Veterans Day
EDGAR closure date from SEC EDGAR Calendar. Holiday: Veterans Day Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar
FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II
The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with…
FOCUS Part II/IIA – Monthly 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…
EDGAR Closed – Thanksgiving Day
EDGAR closure date from SEC EDGAR Calendar. Holiday: Thanksgiving Day Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-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…
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…
Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members
Effective Date for Amendments to Rule G-20 for Municipal Advisors and Dealers that Are Not FINRA Members When Tue, Dec 1, 2026, all day See MSRB Notice 2026-04…
Ensure Full Payment Is Available in the Firm’s Renewal Account or Flex-Funding Account by This Date
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…