WebSep 28, 2024 · If you would like assistance with filing an extension for the year end audit, please reach out to Mike Coglianese at 630-461-5841 or email [email protected]. Branch Office Revisions for Commodity Pools, CTAs, Introducing Brokers, and FCMs Audit Brief: Engage Auditor Now, Start Planning Mar 22, 2024 Tax Brief: 2024 Q2 Key Tax … WebFocus Report Due Dates – SEC Rules 17a-5(a) & 17a-10 FOCUS Reports of members for which NYSE Arca, Inc. is the assigned i ty (“DEA”) must be submitted el c ronically received by FINRA acting as agent for NYSE Arca Inc. (collectively the Monthly FOCUS Reports are due as follows: ruary 2024 Monthly FOCUS Repo t Due: Thursday, March 23, 2024 ...
SEC.gov Frequently Asked Questions About Form 13F
WebFeb 19, 2024 · According to FINRA, audit work for small broker-dealers is performed predominantly during the period of time between the due date for the fiscal year-end … WebJan 14, 2024 · December. 12/15/2024. 12/19/2024. 12/27/2024. 12/30/2024. 1/4/2024. 1/11/2024. * There are two trade dates that settle on November 15, 2024. Firms that file their short interest positions via an ASCII text file should use the trade date of November 10, 2024 when populating Record Type 2, Field 6 of the file. 咽頭がん 症状
OFAC Regulatory Compliance in 2024 for Securities Firms
WebApr 12, 2024 · 34-96107. Oct. 19, 2024. Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2024-027 and the Temporary Amendments to FINRA Rule 9341 (d) in SR-FINRA-2024-015. Comments due: November 15, 2024. WebFeb 12, 2024 · files its fiscal year-end FOCUS Report. According to FINRA, audit work for small broker-dealers is performed predominantly during the period of time between the due date for the fiscal year-end FOCUS Report (17 business days after the firm’s fiscal year end) and the annual reports filing due date (60 calendar days after the fiscal year end). Web5 hours ago · Publication Date: 04/14/2024 Agency: Securities and Exchange Commission Dates: Comments should be received on or before June 13, 2024. ... Like FINRA's Trade Reporting and Compliance Engine ... broker-dealers would compare their total assets to the previous quarter on or before the FOCUS report filing deadline. Accordingly, ... bossanova208