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Events for June 2017

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29

Memorial Day – Market Holiday

30

FINRA Requests Comments on Rules Impacting Capital Formation

FINRA Requests Comment on FINRA Corporate Financing Rule

FINRA Requests Comment on Equity and Debt Research Rules

Annual Audit Filing Due Date (Period Ending 03/31/2017)

31

FINRA District 7 Atlanta – District Compliance Events

1

District Compliance Meeting: Charlotte, NC – District 7 (Atlanta)

2

2017 FINRA Risk Control Assessment ( RCA)

3
4
5

SIFMA FINTECH Conference

SEC Code of Arbitration Comment Period

6

SIFMA FINTECH Conference

FINRA Boot Camp: Chicago, IL – District 8 (Chicago)

District Compliance Meeting – District 8 (Madison WI)

District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)

7
8

FINRA Compliance Boot Camp – San Francisco

Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities

9

DOL’s fiduciary rule’s definitions applied as of June 9th

10
11
12

SEC Comment Period for FINRA Rule 7730

13
14
15

MSRB Webinar: Municipal Advisor Representative Qualification Examination (Series 50 Exam)

16

Outside Brokerage Account Review (FINRA Rule 3270)

17
18
19

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)

FINRA Boot Camp: Stamford, CT – District 11 (Boston)

20

District 7- Boca Raton, Florida – Compliance Boot Camp

District Compliance Meeting – Columbus, OH – District 8 (Chicago)

21

FINRA Foundations of Web CRD/IARD Training

FINRA’s RAD Training Offerings

22

FINRA Foundations of Web CRD/IARD Training

FINRA’s RAD Training Offerings

MSRB Webinar: Municipal Advisor Solicitor Guidance

23

Net Capital Computation (Month ending 05/31/2017)

Monthly & Fifth’ FOCUS IIA Filings (Month ending 5/31/2017)

24
25
26
27

District Compliance Meeting: Rochester NY – District 9b (Woodbridge)

28

FINRA District Compliance Meeting: New York, NY – District 10 (New York)

29

Annual Audit Filing Due Date (Period Ending 04/30/2017)

FINRA Reviews Outside Business Activities and Private Securities Transactions

Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions

District Compliance Meeting: Louisville, KY – District 8 ( Chicago)

30

Outside Business Activities Review

Review and update Firm Element Continuing Education Plan

1

Quarterly GASB Accounting Support Fee

2
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