Calendar of Events

M Mon

T Tue

W Wed

T Thu

F Fri

S Sat

S Sun

2 events,

Effective Date: Amended TAF Rates for Transactions in Covered Security Futures

0 events,

0 events,

0 events,

1 event,

0 events,

0 events,

0 events,

1 event,

District Compliance Meeting – District 10 (Long Island)

2 events,

Comment Period Expires – Trace Disseminiation Issues

1 event,

0 events,

0 events,

0 events,

5 events,

FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2012)

NASD Rule 3050 Transactions for Associated Persons

FINRA Rule 3270 Outside Business Activities

NASD Rule 3040 Private Securities Transactions of an Associated Person

SRO-Hosted Consolidated Audit Trail Industry Event

1 event,

SRO-Hosted Consolidated Audit Trail Industry Event

4 events,

District Compliance Meeting – District 10 (New York)

Deadline for Qualifiying for Day One Operations Principal

District Compliance Meeting – District 7 (Boca Raton)

District Compliance Meeting – District 9B (Woodbridge)

0 events,

0 events,

0 events,

0 events,

1 event,

2 events,

SIFMA 2012 Annual Meeting

0 events,

1 event,

1 event,

Quarterly SSOI Supplemental FOCUS Information (Quarter ending 9/30/12) FINRA Rule 4524

0 events,

0 events,

0 events,

3 events,

SIPC Assessments (Year ending August 31, 2012) SIPC 7

SIPC Assessments (Year ending March 31, 2012) SIPC 6

Annual Audit Filing Due Date (Period Ending 8/31/2012)

2 events,

Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q3 2012)

MSRB Rule A•14 (Annual Fee)

1 event,

0 events,

0 events,

0 events,

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