Compliance Calendar

June 2019

Certification Due Dates
April 22, 2019 to 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.

 

 

 

Conferences and Events
June 4, 2019
Compliance Boot Camp: District 8 Event to be held in Chicago, IL

Cost: $195

Topics Include:

  • Complex Products
  • Outside Business Activities and Private Securities Transactions

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...

Conferences and Events
June 4, 2019
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.

Request For Comments
June 11, 2019
Deadline for Comments on Regulatory Notice 19-12

FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination

Conferences and Events
June 12, 2019
Compliance Boot Camp: District 10 Event to be held in New York, NY

Cost: $195

Topics Include:

  • Outside Business Activities and Private Securities Transactions
  • Social Media and Digital Communications Compliance

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...

Conferences and Events
June 12, 2019
District Compliance Event: District 11 Event to be held in Boston, MA

Cost: Free

Topics include:

  • SEC Examination Findings and Priorities
  • AML Update
  • Regulatory Update from Member Relations and Education

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...

Conferences and Events
June 18, 2019
District Compliance Event: District 9B Event to be held in Rochester, NY

Cost: Free

Topics include:

  • Qualification and Registration Requirement Changes
  • FINRA Enforcement Updates and Recent Cases
  • AML and Regulatory Notice 19-18

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...

Regulatory Filings
June 25, 2019
FOCUS Part II/IIA - Monthly 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.

Conferences and Events
June 27, 2019
National Compliance Outreach Program for Broker-Dealers

The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices.

CAT Deadlines
June 27, 2019
CAT Registration Deadline

CAT Registration:

Initial CAT Registration will run from March 18 - June 27, 2019.  All current Industry Members with a CAT reporting obligation should register during that window.

Regulatory Filings
June 28, 2019
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.