Compliance Calendar

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

South Region Member Forum

The South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.

Compliance Boot Camp: District 10 Event to be held in Jericho, NY

Cost: $195

Topics include:

• Supervision
• Anti-Money Laundering and Customer Due Diligence

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 immediate application to the workplace.  

District Compliance Event: District 3 Event to be held in Tempe, AZ

Cost: Free

Topics Include:

• Overview of FINRA’s Surveillance Program and description of FINRA’s Nine RisksB
• Branch Office Examinations

Designed for legal and compliance professionals, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff.

FOCUS Part II/IIA - Quarterly 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.

Form Custody Filings Due

SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

Compliance Boot Camp: District 10 Event to be held in New York, NY

Cost: $195

Topics include:

• Supervision
• Suitability

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 immediate application to the workplace.  

SR-FINRA-2018-019

Rule Filing Status:  Approved

Rule change to amend FINRA Rules 12500, 12501, 13500 and 13501 to charge a $100 per-arbitrator fee to parties who request cancellation of a prehearing conference within three business days before a scheduled prehearing conference. The rule change would also amend FINRA Rules 12214(a) and 13214(a) to create a $100 honorarium to pay each arbi...

SSOI Filings Due

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

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.

North Region Member Forum

The North Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the North Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers.

Annual Audit Reports Due

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

Form OBS Filings Due

FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount.