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0 events,

2 events,

Monthly & Fifth’ FOCUS IIA Filings (Month ending 08/31/2017)

Monthly & Fifth’ FOCUS IIA Filings (Month ending 08/31/2017)

3 events,

SEC Request for Comment: Consolidated Audit Trail

SEC Request for Comment: Consolidated Audit Trail

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District Compliance Meeting – District 7 Boca Raton, Florida

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Consolidated Audit Trail (CAT) Industry Call for FINRA Small Firm Members

0 events,

2 events,

Outside Business Activities Review

Outside Business Activities Review

Annual Audit Filing Due Date (Period Ending 07/31/2017)

Annual Audit Filing Due Date (Period Ending 07/31/2017)

1 event,

Review and update Firm Element Continuing Education Plan

Review and update Firm Element Continuing Education Plan

4 events,

Investment Advisers Face Enhanced Information Reporting

Investment Advisers Face Enhanced Information Reporting

2018 FINRA Annual Conference Early Registration

2018 FINRA Annual Conference Early Registration

Information Update for Advisers Filing Form ADV Amendments

Information Update for Advisers Filing Form ADV Amendments

Quarterly GASB Accounting Support Fee

Quarterly GASB Accounting Support Fee

1 event,

Rule Change to Reduce the Delay Period for TRACE

Rule Change to Reduce the Delay Period for TRACE

0 events,

0 events,

4 events,

FINRA 2017 Advertising Regulation Conference

FINRA 2017 Advertising Regulation Conference

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FINRA Boot Camp – District 2 – Del Mar, California

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District Compliance Meeting – District 2 – Del Mar California

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FINRA District Compliance Meeting – District 9B Woodbridge

1 event,

0 events,

0 events,

0 events,

1 event,

Small Firm CRCP Scholarship

Small Firm CRCP Scholarship

0 events,

0 events,

1 event,

-

District Compliance Meeting – District 3 – Tempe, Arizona

0 events,

1 event,

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2017)

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2017)

1 event,

National Society of Compliance Professionals – National Conference

National Society of Compliance Professionals – National Conference

2 events,

-

FINRA Boot Camp – District 10 – New York

1 event,

2 events,

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FINRA AML Seminar – District 6 Dallas

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FINRA Boot Camp – District 10 Long Island – Jericho, New York

1 event,

0 events,

0 events,

2 events,

SIFMA’s Annual Meeting – The Capital Markets Conference

SIFMA’s Annual Meeting – The Capital Markets Conference

2 events,

-

FINRA District Compliance Meeting – District 10 New York

2 events,

Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2017)

Quarterly FOCUS and SSOI Filing (Quarter ending 09/30/2017)

-

FINRA District Compliance Meeting – District 11 Boston

0 events,

2 events,

Outside Business Activities Review

Outside Business Activities Review

Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2017)

Disclosure of Order Routing Practices (SEC Rule 606) (Q3 2017)

0 events,

0 events,

2 events,

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

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

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

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

1 event,

MSRB Rule G-37 Quarterly Reporting Deadline

MSRB Rule G-37 Quarterly Reporting Deadline

1 event,

FINRA 2018 Renewal Program

FINRA 2018 Renewal Program

1 event,

C&L Society New York Regional Seminar

C&L Society New York Regional Seminar

0 events,

0 events,

1 event,

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