FINRA’S COMPLIANCE CALENDAR-FEBRUARY 2018

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.

FEBRUARY 2018

February 1st
SAA Certification Period  (until February 8th)
Form OBS Filings Due
February 5th
Deadline for Comment on Regulatory Notice 17-42
February 22nd  
Cybersecurity Conference
February 26th
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.

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