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This Month

Calendar of Events

M Mon

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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)

0 events,

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

0 events,

0 events,

0 events,

2 events,

SEC Adopts T+2 Settlement Cycle for Securities Transactions

SEC Adopts T+2 Settlement Cycle for Securities Transactions

Compliance Date for T+2 Settlement Cycle for Securities Transactions

Compliance Date for T+2 Settlement Cycle for Securities Transactions

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

1 event,

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

0 events,

2 events,

2017 Fixed Income Conference

2017 Fixed Income Conference

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District Compliance Meeting – District 4 Kansas City

1 event,

0 events,

0 events,

2 events,

Commitment to Compliance Conference

Commitment to Compliance Conference

FINRA Foundations of Web CRD/IARD Training

FINRA Foundations of Web CRD/IARD Training

1 event,

3 events,

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FINRA Registration and Disclosure Boot Camp

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FINRA District Compliance Meeting: Ft. Lauderdale, FL – District 7 ( Atlanta)

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District Compliance Meeting – District 4 Kansas City

0 events,

1 event,

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Compliance Boot Camp – District 3 Denver

0 events,

0 events,

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,

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

Investment Advisers Face Enhanced Information Reporting

Investment Advisers Face Enhanced Information Reporting

2018 FINRA Annual Conference Early Registration

2018 FINRA Annual Conference Early Registration

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