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Events for August 2017

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31

Annual Audit Filing Due Date (Period Ending 05/31/2017)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2017)

MSRB Rule G-37 Quarterly Reporting Deadline

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FINRA Boot Camp: Woodbridge, NJ – District 9b

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Military Spouses Receive Fellowships

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Outside Brokerage Account Review (FINRA Rule 3270)

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FINRA Pay-to-Play Rules Become Effective

SEC Approves New FINRA Pay-to-Play Rules

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FINRA Annual Meeting of Firms

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Monthly & Fifth’ FOCUS IIA Filings (Month ending 07/31/2017)

Net Capital Computation (Month ending 07/31/2017)

MSRB: International Municipal Lawyer’s Association’s Municipal Finance Webinar

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District Compliance Meeting

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Outside Business Activities Review

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FINRA Transparency Services Forms Updates

29

Annual Audit Filing Due Date (Period Ending 06/30/2017)

FINRA Boot Camp: Milwaukee, WI – District 8 (Chicago)

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FINRA Boot Camp: Omaha, NE – District 4 (Kansas City)

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FINRA Holiday: Friday before Labor Day ( 3:00 p.m. early close)

FINRA and SIPC Streamline Reporting Process

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