Q3 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines occurring from July through September 2024.

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
2 Submission deadline is based upon guidelines issued by ESMA, exact date to be determined by reference to rules implemented by individual jurisdictions (in which filing obligation is owed).

Download our Regulatory Filings calendars

We've created calendars to help you stay on track with your regulatory filings. Our at-a-glance calendars provide key reporting deadlines and on-going and annual regulatory obligations for investment advisers and broker-dealers registered with the:

• SEC
• FCA
• ESMA
• CFTC
• NFA
• FINRA

Download our Investment Adviser Filings Calendar

Download our FINRA Filings Calendar

How we help

Financial institutions must meet various regulatory filings requirements and other obligations, or subject their firm to penalties, sanctions, and hard-to-repair reputational losses. ACA Signature can help.

ACA Signature is a scalable solution curated to suit your firm’s unique compliance needs. We combine compliance advisory, innovative technology, and managed services to effectively address regulatory commitments and day-to-day responsibilities, including assisting with regulatory filings.

Reach out to your ACA consultant, or contact us to find out how ACA Signature can help transform your firm’s compliance program.