Compliance Calendar

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

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.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

Deadline for Comments on Regulatory Notice 19-06

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information

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.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

SR-FINRA-2019-007

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to adopt FINRA Rule 7640B to (1) describe FINRA’s practices relating to the distribution of market data for over-the-counter (“OTC”) transactions in NMS stocks generated through the operation of the FINRA/NYSE Trade Reporting Facility by NYSE Market (DE), Inc. and its affiliate, New York Stock...

Annual Audit Reports Due

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

SAA Certification Period

Super Account Administrator (SAA) Certification

Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process. For 2019, the certification period is April 22 – June 21, 2019.

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.