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3 events,

MSRB Rule G-37 Quarterly Reporting Deadline

MSRB Rule G-37 Quarterly Reporting Deadline

Annual Audit Filing Due Date (Period Ending 05/31/2017)

Annual Audit Filing Due Date (Period Ending 05/31/2017)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2017)

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 06/30/2017)

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1 event,

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FINRA Boot Camp: Woodbridge, NJ – District 9b

1 event,

Military Spouses Receive Fellowships

Military Spouses Receive Fellowships

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1 event,

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2 events,

FINRA Pay-to-Play Rules Become Effective

FINRA Pay-to-Play Rules Become Effective

SEC Approves New FINRA Pay-to-Play Rules

SEC Approves New FINRA Pay-to-Play Rules

0 events,

1 event,

3 events,

Monthly & Fifth’ FOCUS IIA Filings (Month ending 07/31/2017)

Monthly & Fifth’ FOCUS IIA Filings (Month ending 07/31/2017)

1 event,

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District Compliance Meeting

1 event,

Outside Business Activities Review

Outside Business Activities Review

0 events,

0 events,

1 event,

FINRA Transparency Services Forms Updates

FINRA Transparency Services Forms Updates

2 events,

Annual Audit Filing Due Date (Period Ending 06/30/2017)

Annual Audit Filing Due Date (Period Ending 06/30/2017)

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FINRA Boot Camp: Milwaukee, WI – District 8 (Chicago)

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1 event,

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FINRA Boot Camp: Omaha, NE – District 4 (Kansas City)

2 events,

FINRA and SIPC Streamline Reporting Process

FINRA and SIPC Streamline Reporting Process

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0 events,

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