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.

December 2018

Return to Current

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This information is provided as a convenience to firms and may not be a complete listing of all of a firm's regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.