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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 – Christmas Day
EDGAR closure date from SEC EDGAR Calendar. Holiday: Christmas Day Source: https://www.sec.gov/submit-filings/filer-support-resources/edgar-calendar
Submit Filings Before 6 p.m. ET
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…
Last Day for Dealers to Complete Annual Review and Testing of Supervisory Controls
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…
Last Day for Municipal Advisors to Complete Annual CEO Certification
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…
End of 529 Underwriting Assessment Reporting Period
End of 529 Underwriting Assessment Reporting Period When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming Thu, Dec 31, 2026,…
Last Day to Complete Annual Municipal Advisor Continuing Education
Last Day to Complete Annual Municipal Advisor Continuing Education When Annually on the 31st of December All day Recent Wed, Dec 31, 2025, all day Upcoming…
Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals
Last Day to Complete Regulatory Element Content for Municipal Securities Representatives and Principals When Annually on the 31st of December All day Recent…
First Day to File Form G-37 for Quarter Ending December 31
First Day to File Form G-37 for Quarter Ending December 31 When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all…
First Day of Form A-12 Annual Affirmation Period
First Day of Form A-12 Annual Affirmation Period When Annually on the 1st of January All day Recent Wed, Jan 1, 2025, all day Thu, Jan 1, 2026, all day…
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…
FOCUS Schedule I Filings Due
SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year. FINRA Category: Regulatory Filings Add to Calendar:…
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…
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…
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…
Last Day of Form A-12 Annual Affirmation Period
Last Day of Form A-12 Annual Affirmation Period When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day…
Rule A-11 Annual Municipal Advisor Professional Fee Assessed
Rule A-11 Annual Municipal Advisor Professional Fee Assessed When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026,…
Last Day to File Form G-37 for Quarter Ending Dec 31
Last Day to File Form G-37 for Quarter Ending Dec 31 When Annually on the 31st of January All day Recent Fri, Jan 31, 2025, all day Sat, Jan 31, 2026, all day…
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…
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…