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Events for January 2018

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1

Quarterly GASB Accounting Support Fee

New Year’s Day – FINRA Holiday

SEC Approves Continuing Education Requirements for Municipal Advisors

DOL’s Fiduciary Rule Transition Period Ends

2

Annual Audit Filing Due Date (Period Ending 10/31/2017)

Final Renewal Statement Availability January 02, 2018

Final 2018 Renewal Statements Available

3

Short Interest Reporting Due Date

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15

Martin Luther King Day – Market Holiday

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2017)

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19

Outside Brokerage Account Review (FINRA Rule 3270)

20
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22

FINRA 2018 Final Renewal Statement Due

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25

Net Capital Computation (Month ending 12/31/2017)

Annual FCS Reporting for 2018

Form Custody Filings ( period ended 12/31/2017)

Quarterly FOCUS and SSOI Filing (Quarter ending 12/31/2017)

Annual Schedule I Filing for 2017

26

Outside Business Activity Review (FINRA Rule 3270)

Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2017)

MSRB Update of Primary Contact Information (MSRB G-40)

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29

Annual Audit Filing Due Date (Period Ending 11/30/2017)

SEC Approves Amendments to MSRB Rule G-26 on Customer Account Transfers

30

Supplemental Inventory Schedule (report period end date of 12-31-2017)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2017)

31

MSRB Rule G-37 Reporting Deadline

1

Form OBS Quarterly filing due for Q4 2017

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