2016 broker/dealer compliance calendar

2016 Broker/Dealer Compliance Calendar

25602 Alicia Parkway #107 Laguna Hills, CA 92653 Main (800) 641-1818 Tel (949) 770-6154 Fax (949) 770-6198 www.financialregistrations.com


2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Page 1 of 24 © 2016 Financial Registrations, Inc. BDCC Ver. 02292016

Forward

Dear Reader,

Our updated 2016 Broker/Dealer Compliance Calendar update is intended to keep broker/dealers informed of updated compliance reporting requirements and filing deadlines as well as provide information on market holidays and events that may affect broker/dealer business operations.

This information is divided into two categories: compliance reporting and filing deadlines that are established on a calendar year basis and event-driven requirements that are set internally by broker/dealer firms based on their previous year’s completion dates.

While this information is intended to be used as a reference guide when preparing and planning your annual broker/dealer compliance program, we encourage each broker/dealer firm to review its specific needs to determine the applicability of such requirements.

Although this information is primarily focused on FINRA member broker/dealers, as federal, state and/or SRO rules and regulations are subject to change, information on specific requirements as provided in this calendar should be verified to ensure compliance with current regulatory reporting requirements.

Sincerely,

Scott P. Tarra Managing Principal

http://www.financialregistrations.com/



Contents

Quick Guide……………………………………………………………..

Event-Driven Requirements……………………………..……….....

Date-Driven Requirements…………………….…………….….......

January………………………………………………………….......

February……………………………………………………….........

March ………………………………………………………...…......

April…………………………………………………………….........

May……………………………………………………………..........

03

04

04

04

05

07

08

10

June…………………………………………………………........................

July………………………………………………………............................

August ………………………………………………………...…................

September……………………………………………………………...........

October……………………………………………………………...............

November……………………………………………………………………..

December……………………………………………………………………..

January 2017………………………………………...……………………….

11

12

14

15

16

18

19

22




Quick Guide

JANUARY

M T W T F S S

1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30 31

FEBRUARY

M T W T F S S

1 2 3 4 5 6 7

8 9 10 11 12 13 14

15 16 17 18 19 20 21

22 23 24 25 26 27 28

29

MARCH

M T W T F S S

1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31

APRIL

M T W T F S S

1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30

MAY

M T W T F S S

1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

30 31

JUNE

M T W T F S S

1 2 3 4 5

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30

JULY

M T W T F S S

1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30 31

AUGUST

M T W T F S S

1 2 3 4 5 6 7

8 9 10 11 12 13 14

15 16 17 18 19 20 21

22 23 24 25 26 27 28

29 30 31

SEPTEMBER

M T W T F S S

1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30

OCTOBER

M T W T F S S

1 2

3 4 5 6 7 8 9

10 11 12 13 14 15 16

17 18 19 20 21 22 23

24 25 26 27 28 29 30

31

NOVEMBER

M T W T F S S

1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30

DECEMBER

M T W T F S S

1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31

[ ]= Compliance Requirements/Due Date [ ]= Market Holiday/Market Close




Update: February 28, 2016 By Scott P. Tarra Managing Principal [email protected]

Due Date Completed N/A Compliance Requirement Category Frequency Assignment Rule/Reference

Event Driven Tasks (based on previous year's completion date)

TBD AML Continuing Education Training AML Annually AMLCO FINRA Rule 3310(e)

TBD Firm Element Continuing Education Training Education & Training Annually CCO/DSP FINRA Rule 1250(b)(1)

TBD Annual Compliance Meeting(s) Education & Training Annually CCO/DSP FINRA Rule 3110(a)(7)

TBD OSJ Main Office Compliance Review(s) Branch Supervision Annually CCO/DSP FINRA Rule 3110(c)(1)(A)

TBD OSJ Branch Office Compliance Review(s) (if applicable) Branch Supervision Annually CCO/DSP FINRA Rule 3110(c)(1)(B)

TBD Non-OSJ Branch Office Compliance Review(s) (if applicable) Branch Supervision Annually CCO/DSP FINRA Rule 3110(c)(1)(C)

TBD Independent Test of Anti-Money Laundering (AML) Program AML Annually AMLCO FINRA Rule 3310(c)

TBD Rule 3120/3130 Annual Test & Review Supervisory Controls Annually CCO/DSP FINRA Rule 3120; FINRA Rule 3130

TBD Rule 3130 Annual CEO Certification Supervisory Controls Annually CEO FINRA Rule 3130

Date Driven Tasks (based on Calendar Year due dates)

01/01/16 New Year’s Day Market Holiday Annually

01/04/16 2016 Final Renewal Statement Availability Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

01/04/16 Implementation Date-- FINRA Approval of Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements Licensing/Registration Periodic CCO/DSP

NASD Rule 1032(f); NASD Rule 1022(a); FINRA Regulatory Notice 15-45

01/05/16 Short-Interest Reporting Deadline (Settlement Date of December 31, 2015) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

01/07/16 Alternative Periodic Reporting for Transactions in Muni Fund Securities Munis. Quarterly Muni Principal MSRB Rule G-15(a)(vii)(B)

01/11/16 Automatic Transfers for 2016 Final Renewal Statement Payments Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

01/15/16 FinCEN 314(a) Notification Review & Download on SISS AML Bi-Monthly AMLCO Section 314(a) of the USA PATRIOT Act

01/15/16 Quarterly Reporting of Customer Complaints (Quarter End December 31, 2015) Regulatory Reporting Quarterly CCO FINRA Rule 4530(d)


mailto:[email protected]




01/15/16 Deadline for receipt of Final Renewal Statement payments Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

01/18/16 Martin Luther King, Jr. Day Market Holiday Annually

01/20/16 Short-Interest Reporting Deadline (Settlement Date of January 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

01/27/16 Annual Schedule I Filing (for FYE December 31, 2015) Financial Reporting Annually FINOP SEA Rule 17a-5; FINRA Information Notice- 12/14/15

01/27/16 Monthly and Fifth FOCUS II/IIA Filing (Period End December 31, 2015) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

01/27/16 Quarterly FOCUS II/IIA Filing (Quarter End December 31, 2015) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

01/27/16 Form Custody (Quarter End December 31, 2015) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

01/27/16 Complete Monthly Financials and Net Capital Calculation (Period End December 31, 2015) Financial Reporting Monthly FINOP SEA Rule 15c3-1

01/27/16 Annual Contact Verification for FINRA and MSRB firms (FCS) Regulatory Reporting Annually CCO FINRA Rule 4517

01/27/16 MSRB Form A-12 Annual Affirmation (MSRB Member Firms) Munis. Annually Muni Principal MSRB Rule A-12(k)

01/29/16 Annual Audit Report (for FYE November 30, 2015) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

01/31/16 MSRB Rule G-37 Reporting Requirement Munis. Quarterly Muni Principal MSRB Rule G-37(e)

01/31/16 Quarterly Disclosure of Order Routing Trading Quarterly CCO/DSP SEC Rule 606


02/01/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End December 31, 2015) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

02/01/16 Effective Date-- Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities Trading Periodic CCO/DSP FINRA Regulatory Notice 15-51

02/01/16 Supplemental Statement of Income (SSOI) (Quarter End December 31, 2015) Financial Reporting Quarterly FINOP FINRA Rule 4524; FINRA Notice12-11

02/02/16 Short-Interest Reporting Deadline (Settlement Date of January 29, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

02/03/16 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending December 31, 2015) Financial Reporting Quarterly FINOP

FINRA Rule 4524; FINRA Regulatory Notice 13-10

02/08/16 Customer Margin Balance Form Filing (Period End January 29, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08





02/11/16 Annual Entitlement User Accounts Certification Process (for SAA) Regulatory Reporting Annually CCO Entitlement User Accounts Certification Process Quick Reference Guide

02/15/16 Month-end Compliance Review & Recap (Month-end January 31, 2016) Supervision Monthly CCO/DSP

02/15/16 Sample Review of New Customer Accounts Customer Accounts Monthly CCO/DSP FINRA Rule 3110(d)

02/15/16 Review & Confirm OFAC Check/CIP Verification on New Client Accounts AML Monthly CCO/DSP

FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

02/15/16 Sample Review of Transactions Trading Monthly CCO/DSP FINRA Rule 3110(d)

02/15/16 Sample Review of New Rep files Personnel Monthly CCO/DSP FINRA Rule 3110(e)

02/15/16 Review of Customer Complaints Internal Controls Monthly CCO/DSP FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

02/15/16 Sample Review of Gifts & Gratuities Internal Controls Monthly CCO/DSP FINRA Rule 3220

02/15/16 Sample Review of Selected Activity/Exception Reports Trading Monthly CCO/DSP FINRA Rule 3110(d)

02/15/16 Sample Review of Correspondence, Retail/Institutional Communications (written/electronic) Communications Monthly CCO/DSP

FINRA Rule 3110(4); FINRA Rule 2210(b)(1)-(3)

02/15/16 Sample Review of Outside Brokerage Account Statements Internal Controls Monthly CCO/DSP NASD Rule 3050

02/15/16 Sample Review of Outside Business Activities Internal Controls Monthly CCO/DSP FINRA Rule 3270

02/15/16 Sample Review of Private Securities Transactions Internal Controls Monthly CCO/DSP FINRA Rule 3280

02/15/16 Review of Social Media Use by Associated Persons Communications Monthly CCO/DSP FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29

02/15/16 Sample Review of Trade Activity against Restricted Securities/Watch List(s) Internal Controls Monthly CCO/DSP

Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2


02/15/16 President’s Day Market Holiday Annually

02/16/16 Effective Date-- New Rate for Fees Paid Under Section 31 Financial Reporting Annually CCO/DSP Section 31 of the Exchange Act; FINRA Information Notice 1/20/16

02/17/16 Short-Interest Reporting Deadline (Settlement Date of February 12, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

02/22/16 Effective Date-- SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports Research Periodic CCO/DSP






02/24/16 Monthly and Fifth FOCUS II/IIA Filing (Period End January 31, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

02/24/16 Complete Monthly Financials and Net Capital Calculation (Period End January 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1


02/29/16 Annual Audit Report (for FYE December 31, 2015) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

02/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End January 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

02/29/16 SIPC-7 General Assessment Reconciliation Filing and Payment (for firms with December 31st FYE) Financial Reporting Bi-Annually FINOP

Article 6 of Bylaws of the Securities Investor Protection Corporation

03/02/16 Short-Interest Reporting Deadline (Settlement Date of February 29, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

03/07/16 Implementation Date-- FINRA Revises the Series 9/10 Examination Program Licensing/Registration Periodic CCO/DSP SEA Section 15A(g)(3); NASD Rule 1022(g); NASD Rule 1030

03/08/16 Customer Margin Balance Form Filing (Period End February 29, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

03/15/16 Month-end Compliance Review & Recap (Month-end February 29, 2016) Supervision Monthly CCO/DSP






















03/17/16 Short-Interest Reporting Deadline (Settlement Date of March 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

03/23/16 Monthly and Fifth FOCUS II/IIA Filing (Period End February 29, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

03/23/16 Complete Monthly Financials and Net Capital Calculation (Period End February 29, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

03/25/16 Good Friday Market Holiday Annually

03/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End February 29, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

03/30/16 Effective Date- SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents Internal Controls Periodic CCO/DSP



03/31/16 Annual Audit Report (for FYE January 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

04/01/16 FINRA Gross Income Assessments (GIA) through E-Bill Financial Reporting Annually FINOP FINRA Regulatory Notice 09-56

04/02/16 Effective Date-- SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems Trading Periodic CCO/DSP FINRA Regulatory Notice 15-48

04/04/16 Short-Interest Reporting Deadline (Settlement Date of March 31, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101


04/08/16 Customer Margin Balance Form Filing (Period End March 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

04/11/16

Effective Date-- SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities Supervision Periodic CCO/DSP

NASD Rule 2340; FINRA Rule 2310; FINRA Regulatory Notice 15-02

04/15/16 Month-end Compliance Review & Recap (Month-end March 31, 2016) Supervision Monthly CCO/DSP





















04/15/16 Quarterly Reporting of Customer Complaints (Qtr. Ending March 31, 2016) Regulatory Reporting Quarterly CCO FINRA Rule 4530(d)


04/19/16 Short-Interest Reporting Deadline (Settlement Date of April 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

04/25/16 Form Custody (Quarter End March 31, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

04/25/16 Complete Monthly Financials and Net Capital Calculation (Period End March 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

04/25/16 Quarterly FOCUS II/IIA Filing (Quarter End March 31, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

04/28/16 Supplemental Statement of Income (SSOI) (Quarter End March 31, 2016) Financial Reporting Quarterly FINOP FINRA Rule 4524; FINRA Notice12-11

04/28/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End March 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43





04/29/16 Annual Audit Report (for FYE February 29, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15




05/02/16 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending March 31, 2016) Financial Reporting Quarterly FINOP


05/03/16 Short-Interest Reporting Deadline (Settlement Date of April 29, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

05/09/16 Customer Margin Balance Form Filing (Period End April 29, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

05/15/16 Month-end Compliance Review & Recap (Month-end April 30, 2016) Supervision Monthly CCO/DSP






















05/17/16 Short-Interest Reporting Deadline (Settlement Date of May 13, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

05/23/16 Implementation Date-- SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report Trading Periodic CCO/DSP


05/24/16 Monthly and Fifth FOCUS II/IIA Filings (Period End April 30, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

05/24/16 Complete Monthly Financials and Net Capital Calculation (Period End April 30, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

05/27/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End April 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

05/27/16 Friday before Memorial Day (3 p.m. early close) Market Holiday Annually

05/30/16 Memorial Day Market Holiday Annually


05/31/16 Annual Audit Report (for FYE March 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

06/02/16 Short-Interest Reporting Deadline (Settlement Date of May 31, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

06/06/16 Effective Date-- SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck Marketing/Advertising Periodic CCO/DSP


06/08/16 Customer Margin Balance Form Filing (Period End May 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

06/15/16 Month-end Compliance Review & Recap (Month-end May 31, 2016) Supervision Monthly CCO/DSP






















06/17/16 Short-Interest Reporting Deadline (Settlement Date of June 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

06/23/16 Monthly and Fifth FOCUS II/IIA Filing (Period End May 31, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

06/23/16 Complete Monthly Financials and Net Capital Calculation (Period End May 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

06/28/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End May 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

06/29/16 Annual Audit Report (for FYE April 30, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15


07/01/16 Clearing/Carrying Firm Notification and Submission of Activity/Exception Reports Trading Annually CCO/DSP FINRA Rule 4311(h)(1) & (2); NYSE Rule 382

07/01/16 Day before Independence Day (1 p.m. early close) Market Holiday Annually

07/04/16 Independence Day Market Holiday Annually

07/05/16 Short-Interest Reporting Deadline (Settlement Date of June 30, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101


07/11/16 Customer Margin Balance Form Filing (Period End June 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08





07/15/16 Quarterly Reporting of Customer Complaints (Qtr. Ending June 30, 2016) Regulatory Reporting Quarterly CCO FINRA Rule 4530(d)

07/15/16 Month-end Compliance Review & Recap (Month-end June 30, 2016) Supervision Monthly CCO/DSP


















07/19/16 Short-Interest Reporting Deadline (Settlement Date of July 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

07/26/16 Form Custody (Quarter End June 30, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

07/26/16 Quarterly FOCUS II/IIA Filing (Quarter End June 30, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

07/26/16 Complete Monthly Financials and Net Capital Calculation (Period End June 30, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

07/29/16 Supplemental Statement of Income (SSOI) (Quarter End June 30, 2016) Financial Reporting Quarterly FINOP FINRA Rule 4524; FINRA Notice12-11





07/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End June 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

07/30/16 SIPC-6 General Assessment Filing and Payment (for firms with December 31st FYE) Financial Reporting Bi-Annually FINOP





08/01/16 Annual Audit Report (for FYE May 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

08/02/16 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending June 30, 2016) Financial Reporting Quarterly FINOP


08/02/16 Short-Interest Reporting Deadline (Settlement Date of July 29, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

08/08/16 Customer Margin Balance Form Filing (Period End July 29, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

08/15/16 Month-end Compliance Review & Recap (Month-end July 31, 2016) Supervision Monthly CCO/DSP






















08/17/16 Short-Interest Reporting Deadline (Settlement Date of August 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

08/23/16 Monthly and Fifth FOCUS II/IIA Filing (Period End July 31, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

08/26/16 Complete Monthly Financials and Net Capital Calculation (Period End July 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

08/26/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End July 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

08/29/16 Annual Audit Report (for FYE June 30, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15


09/02/16 Short-Interest Reporting Deadline (Settlement Date of August 31, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

09/02/16 Friday before Labor Day (3 p.m. early close) Market Holiday Annually

09/05/16 Labor Day Market Holiday Annually

09/09/16 Customer Margin Balance Form Filing (Period End August 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

09/15/16 Month-end Compliance Review & Recap (Month-end August 31, 2016) Supervision Monthly CCO/DSP






















09/19/16 Short-Interest Reporting Deadline (Settlement Date of September 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

09/26/16 Monthly and Fifth FOCUS II/IIA Filing (Period End August 31, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

09/26/16 Complete Monthly Financials and Net Capital Calculation (Period End August 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

09/29/16 Annual Audit Report (for FYE July 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

09/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End August 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43


10/03/16 Review of all registered persons and branch offices for proper reporting through Web CRD® in preparation for 2017 Renewals Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

10/04/16 Short-Interest Reporting Deadline (Settlement Date of September 30, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101


10/10/16 Customer Margin Balance Form Filing (Period End September 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

10/10/16 Columbus Day Federal Holiday Annually

10/15/16 Quarterly Reporting of Customer Complaints (Qtr. Ending September 30, 2015) Regulatory Reporting Quarterly CCO FINRA Rule 4530(d)

10/15/16 Month-end Compliance Review & Recap (Month-end September 30, 2016) Supervision Monthly CCO/DSP






















10/18/16 Short-Interest Reporting Deadline (Settlement Date of October 14, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

10/25/16 Form Custody (Quarter End September 30, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

10/25/16 Quarterly FOCUS II/IIA Filings (Quarter End September 30, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

10/28/16 Complete Monthly Financials and Net Capital Calculation (Period End September 30, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

10/28/16 Supplemental Statement of Income (SSOI) (Quarter End September 30, 2016) Financial Reporting Quarterly FINOP FINRA Rule 4524; FINRA Notice12-11

10/28/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End September 30, 2016) Financial Reporting Monthly FINOP






10/31/16 Annual Audit Report (for FYE August 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

10/31/16 MSRB Annual Registration Fee Munis. Annually Muni Principal MSRB Rule A-12(c)




11/01/16 Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal (must be dated 12/31/16) as part of 2017 Renewals Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

11/01/16 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending September 30, 2016) Financial Reporting Quarterly FINOP


11/01/16 Firms may begin to submit post-dated Forms BDW and ADV-W (must be dated 12/31/16) as part of 2017 Renewals Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

11/02/16 Short-Interest Reporting Deadline (Settlement Date of October 31, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

11/08/16 Customer Margin Balance Form Filing (Period End October 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

11/11/16 Veterans Day Federal Holiday Annually

11/14/16 Preliminary 2017 Renewal Statements and reports are available for viewing and printing Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

11/15/16 Month-end Compliance Review & Recap (Month-end October 31, 2016) Supervision Monthly CCO/DSP






















11/17/16 Short-Interest Reporting Deadline (Settlement Date of November 15, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

11/23/16 Monthly and Fifth FOCUS II/IIA Filing (Period End October 31, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

11/23/16 Complete Monthly Financials and Net Capital Calculation (Period End October 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

11/23/16 Day before Thanksgiving Day (3 p.m. early close) Market Holiday Annually

11/24/16 Thanksgiving Day Market Holiday Annually

11/25/16 Day after Thanksgiving Day (1 p.m. early close) Market Holiday Annually

11/29/16 Annual Audit Report (for FYE September 30, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

11/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End October 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43


12/02/16 Short-Interest Reporting Deadline (Settlement Date of November 30, 2016) Financial Reporting Bi-Weekly FINOP FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

12/08/16 Customer Margin Balance Form Filing (Period End November 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08

12/09/16 Automatic Transfers for 2017 Preliminary Renewal Statements Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

12/15/16 Month-end Compliance Review & Recap (Month-end November 30, 2016) Supervision Monthly CCO/DSP






















12/16/16 Deadline for receipt of 2017 Preliminary Renewal Statement payments Renewals Annually FINOP/DSP FINRA Renewal Program Calendar


12/23/16 Monthly and Fifth FOCUS II/IIA Filing (Period End November 30, 2016) Financial Reporting Monthly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

12/23/16 Complete Monthly Financials and Net Capital Calculation (Period End November 30, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

12/26/16 Christmas Day Market Holiday Annually

12/26/16 Last Day to submit 2017 Preliminary Renewal Filing and Payment prior to year-end Renewals Annually FINOP/DSP FINRA Renewal Program Calendar

12/28/16 Web CRD/IARD are unavailable due to Final Renewal Statement and renewals processing Renewals Annually FINOP/DSP FINRA Renewal Program Calendar





12/29/16 Supplemental Inventory Schedule (SIS) Filing (Quarter End November 30, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

12/30/16 Annual Audit Report (for FYE October 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

12/30/16 Web CRD/IARD are available for QUERY-only and the creation of "Pending" 2017 Renewal filings Renewals Annually FINOP/DSP FINRA Renewal Program Calendar


12/31/16 Annual Disclosures to Clients (Privacy Policy; BCP; AML, SIPC, BrokerCheck; Order Routing; Payment for Order Flow; Margin, etc.) Communications Annually CCO

Regulation S-P (Privacy Policy); FINRA Rule 4370(e) (BCP); FINRA Rule 3310 (AML); FINRA Rule 2266 (SIPC); FINRA Rule 2267 (BrokerCheck); SEC Rule 606(b)(2) (Order Routing); SEC Rule 607 (Payment for Order Flow); FINRA Rule 2264 (Margin), etc.

12/31/16 Year-end Compliance Review & Recap (2016) Supervision Annually CCO/DSP

12/31/16 Year-End Compliance Review Checklist Supervision Annually CCO/DSP FINRA Rule 3110

12/31/16 Year-End Review/Update of Written Supervisory Procedures- Approval by CCO Internal Controls Annually CCO/DSP FINRA Rule 3120 & 3130

12/31/16 Year-End Review/Update of Continuing Education Program (CEP)- Approval by CCO Education & Training Annually CCO/DSP FINRA Rule 1250

12/31/16 Year-End Review/Update of Business Continuity Plan (BCP)- Approval by CCO Internal Controls Annually CCO/DSP FINRA Rule 4370

12/31/16 Year-End Review/Update of Supervisory Control System (WSCS)- Review and Approval by CCO Internal Controls Annually CCO/DSP FINRA Rule 3120 & 3130

12/31/16 Year-End Review/Update of AML Program- Approval by AMLCO AML Annually AMLCO FINRA Rule 3310

12/31/16 Year-End Review/Update of Cybersecurity Procedures- Approval by CCO Cybersecurity Annually CCO/CIO

FINRA Report on Cybersecurity Practices- Feb. 2015; SEC OCIE’s 2015 Cybersecurity Examination Initiative- Sept. 15, 2015

12/31/16 Year-End Review/Update of Privacy Policy- Approval by CCO Internal Controls Annually CCO/DSP SEC Regulation S-P

12/31/16 Year-End Review of Third-Party Service Providers (Contracts/Services) Due Diligence Annually CCO/DSP FINRA Regulatory Notice 11-14; Proposed FINRA Rule 3190

12/31/16 Year-End Review of Registered/Associated Persons List (Including Recently Hired/Terminated Rep Lists) Personnel Annually CCO/DSP FINRA Rule 3110(a)(4)&(5)

12/31/16 Annual Review of FINRA Membership Agreement and Form BD for material changes/updates Regulatory Reporting Annually CCO/DSP FINRA Rule 1017

12/31/16 Year-End Review and Update of Form BR Filings (Branch Offices) Branch Supervision Annually CCO/DSP FINRA Regulatory Notice 14-11





12/31/16 Year-End Review and Update of Expense Sharing Agreement (if applicable) Financial Reporting Annually FINOP FINRA Notice to Members 03-63



01/10/17 Customer Margin Balance Form Filing (Period End December 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4210; FINRA Regulatory Notice 10-08


01/15/17 Quarterly Reporting of Customer Complaints (Qtr. Ending December 31, 2016) Regulatory Reporting Quarterly CCO FINRA Rule 4530(d)

01/15/17 Month-end Compliance Review & Recap (Month-end December 31, 2016) Supervision Monthly CCO/DSP

















01/26/17 Annual Schedule I Filing (for FYE December 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5; FINRA Information Notice- 12/14/15





01/26/17 Quarterly FOCUS II/IIA Filing (Quarter End December 31, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

01/26/17 Form Custody (Quarter End December 31, 2016) Financial Reporting Quarterly FINOP SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

01/26/17 Complete Monthly Financials and Net Capital Calculation (Period End December 31, 2016) Financial Reporting Monthly FINOP SEA Rule 15c3-1

01/29/17 Annual Audit Report (for FYE November 30, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15



01/31/17 Supplemental Statement of Income (SSOI) (Quarter End December 31, 2016) Financial Reporting Quarterly FINOP FINRA Rule 4524; FINRA Notice12-11

01/31/17 Supplemental Inventory Schedule (SIS) Filing (Quarter End December 31, 2016) Financial Reporting Monthly FINOP FINRA Rule 4524; FINRA Regulatory Notice 14-43

02/02/17 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending December 31, 2016) Financial Reporting Quarterly FINOP


03/01/17 SIPC-7 General Assessment Reconciliation Filing and Payment (for firms with December FYE) Financial Reporting Bi-Annually FINOP


03/01/17 Annual Audit Report (for FYE December 31, 2016) Financial Reporting Annually FINOP SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15




About Us

Financial Registrations, Inc. is a compliance management consulting firm providing registration, enterprise compliance and risk management solutions to the financial services industry. We specialize in providing customized compliance solutions to FINRA member broker/dealers and SEC and State registered investment advisers. With former securities regulators and industry professionals on staff, we offer a full array of talent and experience necessary for handling the most recent and complex compliance issues facing the financial services industry.

For more information on this topic or other compliance related matters, please contact:

Scott P. Tarra Brian K. Miller Managing Principal VP Business Development [email protected] [email protected] Financial Registrations, Inc. Toll-free (800) 641-1818 25602 Alicia Parkway #107 Direct (949) 770-6154 Laguna Hills, CA 92653 Fax (949) 770-6198 www.financialregistrations.com

Recent Publications

2016 State Requirements for Broker/Dealer Annual Audited Financial Statements

Investment Adviser State De Minimis Exemptions

Common Types of Exam Deficiencies for Investment Advisers





https://issuu.com/scotttarra/docs/fr_ca_no._15-_srbdaafs_final?e=16312604/33134729

https://issuu.com/scotttarra/docs/fr_client_advisory_no._26-_ia_state?e=16312604/15350529

https://issuu.com/scotttarra/docs/fr_client_advisory_no._18-_ia_exam_?e=16312604/33368998

2016 broker/dealer compliance calendar

Documents