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0 events,

4 events,

FINRA Requests Comments on Rules Impacting Capital Formation

FINRA Requests Comments on Rules Impacting Capital Formation

FINRA Requests Comment on FINRA Corporate Financing Rule

FINRA Requests Comment on FINRA Corporate Financing Rule

FINRA Requests Comment on Equity and Debt Research Rules

FINRA Requests Comment on Equity and Debt Research Rules

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Annual Audit Filing Due Date (Period Ending 03/31/2017)

1 event,

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FINRA District 7 Atlanta – District Compliance Events

1 event,

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

1 event,

2017 FINRA Risk Control Assessment ( RCA)

2017 FINRA Risk Control Assessment ( RCA)

0 events,

0 events,

2 events,

SEC Code of Arbitration Comment Period

SEC Code of Arbitration Comment Period

SIFMA FINTECH Conference

SIFMA FINTECH Conference

4 events,

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FINRA Boot Camp: Chicago, IL – District 8 (Chicago)

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District Compliance Meeting – District 8 (Madison WI)

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District Compliance Meeting: Tarrytown, NY – District 9b ( Woodbridge)

0 events,

2 events,

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FINRA Compliance Boot Camp – San Francisco

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Phone-In Workshop: TRACE Reporting of Transactions in U.S. Treasury Securities

1 event,

DOL’s fiduciary rule’s definitions applied as of June 9th

DOL’s fiduciary rule’s definitions applied as of June 9th

0 events,

0 events,

1 event,

SEC Comment Period for FINRA Rule 7730

SEC Comment Period for FINRA Rule 7730

0 events,

0 events,

1 event,

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MSRB Webinar: Municipal Advisor Representative Qualification Examination (Series 50 Exam)

1 event,

0 events,

0 events,

3 events,

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

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FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)

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FINRA Boot Camp: Stamford, CT – District 11 (Boston)

2 events,

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District Compliance Meeting – Columbus, OH – District 8 (Chicago)

2 events,

FINRA Foundations of Web CRD/IARD Training

FINRA Foundations of Web CRD/IARD Training

FINRA’s RAD Training Offerings

FINRA’s RAD Training Offerings

3 events,

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MSRB Webinar: Municipal Advisor Solicitor Guidance

2 events,

Monthly & Fifth’ FOCUS IIA Filings (Month ending 5/31/2017)

Monthly & Fifth’ FOCUS IIA Filings (Month ending 5/31/2017)

0 events,

0 events,

0 events,

1 event,

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District Compliance Meeting: Rochester NY – District 9b (Woodbridge)

1 event,

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FINRA District Compliance Meeting: New York, NY – District 10 (New York)

4 events,

Annual Audit Filing Due Date (Period Ending 04/30/2017)

Annual Audit Filing Due Date (Period Ending 04/30/2017)

FINRA Reviews Outside Business Activities and Private Securities Transactions

FINRA Reviews Outside Business Activities and Private Securities Transactions

Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions

Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions

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District Compliance Meeting: Louisville, KY – District 8 ( Chicago)

2 events,

Outside Business Activities Review

Outside Business Activities Review

Review and update Firm Element Continuing Education Plan

Review and update Firm Element Continuing Education Plan

1 event,

Quarterly GASB Accounting Support Fee

Quarterly GASB Accounting Support Fee

0 events,

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