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 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.