Calendar of Events

M Mon

T Tue

W Wed

T Thu

F Fri

S Sat

S Sun

1 event,

FINRA Revises the Series 4 Examination Program

0 events,

1 event,

-

Volcker Rule Seminar

4 events,

MSRB to Raise Annual and Initial Fees

Effective Date of MSRB Fee Increase

2016 FINRA Annual Conference: Special Discounted Registration Rate

0 events,

0 events,

1 event,

1 event,

1 event,

FINRA Advertising Regulation Conference

2 events,

-

Women in Asset Management

0 events,

0 events,

0 events,

1 event,

SIFMA’s Senior Investors Forum

1 event,

SIFMA Global Tax Reporting Symposium

1 event,

0 events,

0 events,

0 events,

0 events,

1 event,

National Cybersecurity Symposium

3 events,

1 event,

0 events,

0 events,

1 event,

1 event,

-

Comment Period Ends: Proposal to Amend FINRA Rule 0150

0 events,

0 events,

1 event,

Outside Business Activity Review (NASD Rule 3050)

0 events,

1 event,

NSCP: National Society of Compliance Professionals

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