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 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.