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.