Calendar of Events

M Mon

T Tue

W Wed

T Thu

F Fri

S Sat

S Sun

2 events,

FINRA to Restructure Continuing Education Requirements and Qualification Exams

-

Annual Audit Filing Due Date ( Period Ending 02/28/2017)

1 event,

SIFMA Senior Investor Protection Regional Workshop

0 events,

0 events,

1 event,

FINRA Requests Comments to improve Engagement Programs

0 events,

0 events,

1 event,

SIFMA’s 44th Annual Operations Conference and Exhibition 2017

2 events,

-

FINRA District 6 Dallas – District Compliance Events

0 events,

0 events,

0 events,

0 events,

1 event,

2017 FINRA Annual Conference

2 events,

-

District 5 New Orleans – District Compliance Events

2 events,

-

FINRA Registration and Disclosure Boot Camp

0 events,

0 events,

2 events,

FINRA Updates Private Placement Filer Form

Effective Date for Use of Updated FINRA Private Placement Filer Form

2 events,

Monthly & Fifth’ FOCUS IIA Filings (Month ending 4/30/2017)

0 events,

0 events,

2 events,

Outside Business Activity Review (FINRA Rule 3270)

Outside Business Activity Review (FINRA Rule 3270)

0 events,

0 events,

0 events,

4 events,

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)

1 event,

-

FINRA District 7 Atlanta – District Compliance Events

1 event,

-

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

1 event,

2017 FINRA Risk Control Assessment ( RCA)

0 events,

0 events,

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