Compliance Calendar

The FINRA Compliance Calendar provides firms with a calendar of upcoming deadlines and events. To view a version of the FINRA Compliance Calendar that includes deadlines specific to you (My Filings) or your firm (Firm Filings)-features of our recent enhancement to the calendar-log in to the Firm Gateway and click on the "Calendar" tab.

The recent enhancement also include the following settings and tools:

  • Overdue Filings: displays all overdue filings for your firm.
  • Export: allows you to export a month of regulatory deadlines and events into excel format.
  • Email: allows you to send a regulatory deadline/event via email.
  • Calendar: allows you to add a regulatory deadline/event to your calendar.

If you have feedback or would like to suggest improvements to this calendar, please email FINRA Member Relations and Education.

May 2018

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