IT’S ALMOST 2018!!!! As we approach the New Year, firms should make sure that they start off on a good note. Below are the regulatory filings, request for comments, and certification due dates for the month of January. FINRA does not list any conferences or events for the month.
JANUARY 2018
| January 2nd |
| Annual Audit Reports Due |
| FCS Verification Period Begins |
| January 3rd |
| Short Interest Reporting Due |
| January 12th |
| Deadline for Comments on a Proposal to Amend Rule 3110 |
| January 16th |
| 4530 Customer Complaints Filings Due |
| January 25th |
| FOCUS Schedule 1 Filings Due |
| FOCUS Part 2/2A-Quarterly Filings Due |
| Form Custody Filings Due |
| FCS Verification Period Ends |
| January 29th |
| Annual Audit Reports Due |
| Deadline for Comments on Regulatory Notice 17-41 |
| January 30th |
| 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.
