As November approaches, let’s take a look at the upcoming deadlines and educational opportunities that are on FINRA’s compliance calendar for the month. Please note that the calendar does not include all regulatory and filing responsibilities for firms. Therefore, you should check other resources to ensure that your firm does not miss any important deadlines.
NOVEMBER 2017
| November 1st |
| Form OBS Filings |
| November 2nd |
| District Compliance Event: District 9 (Washington, DC) |
| Short Interest Reporting |
| November 7th |
| AML Half-Day Seminar (Boca Raton, FL) |
| November 8th |
| Small Firm Conference |
| Compliance Outreach Program for Municipal Advisors |
| Customer Margin Balance |
| November 12th -17th |
| Wharton Week 2: Capstone |
| November 13th |
| AML Half-Day Seminar (New York, NY) |
| November 17th |
| Short Interest Reporting |
| November 27th |
| FOCUS Part II/IIA-Monthly Filings |
| November 29th |
| Annual Audit Reports |
| November 30th |
| SIS Filings |