Good news!!! FINRA’S Compliance Calendar isn’t very full for the month of February. However, there are a few things that firms should be aware of.
|SAA Certification Period (until February 8th)|
|Form OBS Filings Due|
|Deadline for Comment on Regulatory Notice 17-42|
|FOCUS part II/IIA- Monthly Filings Due|
The 2018 FINRA Cybersecurity Conference will be held in New York, NY. If you are interested in attending the conference, you can find more information at 2018 FINRA Cybersecurity Conference. Please note, FINRA’s compliance calendar does not include all regulatory and filing responsibilities for firms. Therefore, you should make sure that you check other resources to ensure that you don’t miss any regulatory deadlines.