As we are approaching December 2017, you should review FINRA’s compliance calendar to ensure you are aware of the last regulatory filings of the year. If you want to attend any conferences or events before the end of the quarter, there are two upcoming seminars.
DECEMBER 2017
| December 1st |
| New York Region Networking Seminar |
| December 4th |
| Short Interest Reporting Due |
| December 6th -7th |
| South Region Compliance Seminar |
| December 8th |
| Customer Margin Balance Due |
| December 18th |
| Deadline for Comment on Regulatory Notice 17-33 |
| Deadline for Comment on Regulatory Notice 17-34 |
| December 19th |
| Short Interest Reporting Due |
| December 26th |
| FOCUS Part II/IIA-Monthly Filings Due |
| December 29th |
| 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 the South Region Compliance Seminar, see 2017 South Region Compliance Seminar to register. To register for the New York Region Networking Seminar, see 2017 FINRA New York Region Networking Seminar.
