Calendar of Events

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2 events,

MSRB Creates Online Education Center to House Digital Resources about the Municipal Market

SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution

2 events,

SIFMA Consolidated Audit Trail Bidder Summit

MSRB – Education and Outreach Seminar in Chicago, IL

1 event,

SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information

1 event,

SIFMA Announces Cybersecurity Resources for Small Firms

2 events,

SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

0 events,

0 events,

1 event,

FINRA Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

2 events,

FINRA Proposed Rule Change to Amend the Codes of Arbitration Procedures

SEC Requests for Comment on FINRA Rules – to Adopt Additional Rules addressing quotation requirements

4 events,

SIFMA Compliance and Legal Society San Francisco Regional Seminar

MSRB Announces New Officers and Board Membersfor Fiscal 2015

MSRB Filing Rule Change to Rule G-3 on Professional Qualification Requirements

MSRB Request for Approval from SEC of proposed Rule G-44 has been published in the Federal Register

1 event,

1 event,

FINRA – Retrospective Rule Review Surveys

2 events,

2Q 2014 TRACE Fact Book Now Available

0 events,

2 events,

FINRA and the Wharton School offer CRCP Program

FINRA Regional Compliance Meeting for the South – Half-Day Compliance Boot Camp

2 events,

FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”

0 events,

4 events,

FINRA BOARD OF GOVERNORS ELECTION

FINRA Regional Compliance Meeting for the South – Half-Day Compliance Boot Camp

MSRB Webinar: Request for Comment on Revised Draft MSRB Rule G-42, Duties of Non-Solicitor Municipal Advisors

1 event,

0 events,

0 events,

1 event,

SIFMA Asset Managers Forum

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

1 event,

SEC Approves FINRA Rule Concerning Self-Trades

3 events,

MSRB Deadline for Comments to Rule Change Request for Rule G-3

MSRB Request for Approval from SEC of proposed Rule G-44 has been published in the Federal Register

0 events,

1 event,

Outside Business Activity Review (NASD Rule 3050)

0 events,

0 events,

0 events,

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