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 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.