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Events for November 2017

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30

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 09/30/2017)

Annual Audit Filing Due Date (Period Ending 08/31/2017)

31

MSRB Rule A·14 (Annual Fee)

MSRB Rule G-37 Quarterly Reporting Deadline

1

FINRA 2018 Renewal Program

2

C&L Society New York Regional Seminar

3
4
5

Internal Auditors Society Annual Conference

6

Internal Auditors Society Annual Conference

7

Internal Auditors Society Annual Conference

FINRA AML Seminar – District 7 – Boca Raton, Florida

8

Internal Auditors Society Annual Conference

2017 FINRA Small Firm Conference

9

2017 FINRA Small Firm Conference

10

FINRA 2018 Renewal Program – Preliminary Statement Filings

C&L Society Chicago Breakfast

SIFMA FMS Fundamental Training Securities Operations

11
12

FINRA Institute at Wharton CRCP Program

13

FINRA Institute at Wharton CRCP Program

FINRA 2018 Preliminary Statements Available

FINRA AML Seminar – District 10 – New York

14

FINRA Institute at Wharton CRCP Program

15

FINRA Institute at Wharton CRCP Program

16

FINRA Institute at Wharton CRCP Program

17

FINRA Institute at Wharton CRCP Program

Outside Brokerage Account Review (FINRA Rule 3270)

18
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22

FINRA Holiday: Day before Thanksgiving Day Early close ( 3:00 p.m.)

23

FINRA Holiday: Thanksgiving Day

24

Outside Business Activities Review

FINRA Holiday: Day after Thanksgiving Day ( 1:00 p.m. early close)

25
26
27

Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)

Net Capital Computation (Month ending 10/31/2017)

28
29

Annual Audit Filing Due Date (Period Ending 09/30/2017)

30

Listed Options Symposium

1
2
3
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