As November approaches, let’s take a look at the upcoming deadlines and educational opportunities that are on FINRA’s compliance calendar for the month.   Please note that the calendar does not include all regulatory and filing responsibilities for firms.  Therefore, you should check other resources to ensure that your firm does not miss any important deadlines.


November 1st
Form OBS Filings
November 2nd
District Compliance Event: District 9 (Washington, DC)
Short Interest Reporting
November 7th
AML Half-Day Seminar (Boca Raton, FL)
November 8th
Small Firm Conference
Compliance Outreach Program for Municipal Advisors
Customer Margin Balance
November 12th -17th
Wharton Week 2: Capstone
November 13th
AML Half-Day Seminar (New York, NY)
November 17th
Short Interest Reporting
November 27th
FOCUS Part II/IIA-Monthly Filings
November 29th
Annual Audit Reports
November 30th
SIS Filings