As we are approaching October 2017, it is a good idea to review FINRA’s compliance calendar to ensure you are aware of all regulatory filings, request for comments, certification due dates, and conferences and events that are coming up.
OCTOBER 2017
| October 3rd |
| Short Interest Reporting Due |
| October 5th |
| Advertising Regulation Conference |
| Compliance Boot Camp: District 2 (Del Mar, CA) |
| District Compliance Event: District 2 (Del Mar, CA) |
| District Compliance Event: District 9 (Morristown, NJ) |
| October 9th |
| Customer Margin Balance Due |
| October 13th |
| District Compliance Event: District 3 (Tempe, AZ) |
| October 16th |
| 4530 Customer Complaint Filings Due |
| October 17th |
| Short Interest Reporting Due |
| Compliance Boot Camp: District 10 (New York, NY) |
| October 18th |
| District Compliance Event: District 1 (San Francisco, CA) |
| October 19th |
| AML Half-Day Seminar (Dallas, TX) |
| Compliance Boot Camp: District 10 (Jericho, NY) |
| October 24th |
| District Compliance Event: District 10 (New York, NY) |
| October 25th |
| District Compliance Event: District 11 |
| FOCUS Part II/IIA-Quarterly Filings Due |
| Form Custody Filing Due |
| October 30th |
| Annual Audit Reports Due |
| SSOI Filings Due |
| SIS Filings Due |
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. If you are interested in attending a compliance boot camp, see Compliance Boot Camps to register. To register for a district compliance event, see District Compliance Events.
