Compliance Calendar

Annual Audit Reports Due

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

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.

Customer Margin Balance Due

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.

Deadline for Comments on Regulatory Notice 18-05

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest.

Deadline for Comments on Regulatory Notice 18-06

FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards

4530 Customer Complaint Filings Due

FINRA requires firms to report quarterly statistical and summary information regarding written customer complaints.

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.

FINRA Diversity Summit

The FINRA Diversity Summit provides a forum for business leaders, diversity practitioners and human resources professionals in the financial services industry to explore a variety of corporate practices, strategies, and outreach efforts intended to leverage the benefits of building sustainable diversity and inclusion programs.

The Small Firm Report

FINRA is launching The Small Firm Report, a series of free 45-minute conference calls that focus on the unique regulatory challenges faced by small firms. Join FINRA CEO Robert Cook, VP Jim Wrona and SVP Chip Jones on Tuesday, April 24 at 4:00 p.m. ET for the first small firm conference call. Topics to be discussed include:

• Changes that are underway to enhance and streamline FINRA’s...

Midwest Region Member Forum

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

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.

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.

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.

Form Custody Filings Due

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

Deadline for Comments on Regulatory Notice 18-08

FINRA seeks comments on emerging issues facing the industry, regulatory initiatives, rulemaking proposals, and other areas of regulatory interest.

Anti-Money Laundering Half-Day Seminar

Cost: $195

FINRA's AML Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. 

Annual Audit Reports Due

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