Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

C&L Society Chicago Breakfast

Mesirow Financial 353 North Clark Street, Chicago, IL, United States

The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

Listed Options Symposium

SIFMA Conference Center New York City, NY, United States

SIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities … Continue reading Listed Options Symposium

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

Customer Margin Balance Due

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts.

Outside Brokerage Account Review (FINRA Rule 3270)

The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728

Short Interest Report Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

Short Interest Reporting Due Date

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

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