Compliance Calendar

August 2019

Conferences and Events
August 8, 2019
Compliance Boot Camp: District 2 Event to be held in Del Mar, CA

Cost: $195

Topics Include:

  • Effective Practices for Working With Senior Investors
  • Outside Business Activities and Private Securities Transactions

FINRA Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for...

Conferences and Events
August 8, 2019
District Compliance Event: District 2 Event to be held in Del Mar, CA

Topics include:

  • Member Relations and Education Update from Chip Jones, Senior Vice President
  • Los Angeles District Office Update from David Greene, District Director

Designed for legal...

Conferences and Events
August 12, 2019 - 3:00am to 3:45am
The Small Firm Report: CAT

Topic:  Consolidated Audit Trail (CAT)


Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers The Small Firm Report, a free conference call series hosted by senior FINRA leaders who discuss trending topics, new...

Rule Filings
August 19, 2019

Rule Filing Status:  Approved


Rule change to amend FINRA Rule 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and records on the form; (2) clarify the obligations of the designated custodian; and (3) require the...

Regulatory Filings
August 23, 2019
FOCUS Part II/IIA - Monthly Filings Due

SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.

Conferences and Events
August 26, 2019
District Compliance Event: District 7 Event to be held in Atlanta, GA

Cost: Free

Conferences and Events
August 27, 2019
Cybersecurity Half-Day Seminar - Costa Mesa, CA

Cost: $195

FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.

Regulatory Filings
August 28, 2019
SIS Filings Due

FINRA-required filing for firms with a minimum dollar net capital requirement of $100,000 or more. Submitted on same schedule as FOCUS Report filing schedule applicable to each firm.

Regulatory Filings
August 29, 2019
Annual Audit Reports Due

SEC-required filing of financial statements and required schedules and reports. Prepared based on broker-dealer's fiscal year.