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0 events,

2 events,

Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 10/31/2018)

Monthly & Fifth FOCUS Part II/IIA Filings (Month ending 10/31/2018)

0 events,

1 event,

Annual Audit Filing Due Date (Period Ending September 30, 2018)

Annual Audit Filing Due Date (Period Ending September 30, 2018)

3 events,

Outside Business Activity Review (FINRA Rule 3270)

Outside Business Activity Review (FINRA Rule 3270)

FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)

FINRA Requests Comments: Technology Based Innovations for Regulatory Compliance ( “RegTech”)

Supplementary Inventory Schedule Reporting period end date of 10-31-2018

Supplementary Inventory Schedule Reporting period end date of 10-31-2018

0 events,

0 events,

1 event,

SEC Requests Comments: Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities

SEC Requests Comments: Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities

1 event,

-

FINRA Options Industry Regulatory Conference

2 events,

National Day of Mourning

National Day of Mourning

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FINRA CTCI migration conference call

1 event,

-

FINRA New York Region Member Forum

0 events,

0 events,

0 events,

0 events,

0 events,

0 events,

1 event,

FINRA Special Election – National Adjudicatory Council

FINRA Special Election – National Adjudicatory Council

1 event,

0 events,

1 event,

Annual Firm Renewals -Deadline on Payments for Preliminary Renewal Statements

Annual Firm Renewals -Deadline on Payments for Preliminary Renewal Statements

1 event,

Preliminary Statement Payment Deadline

Preliminary Statement Payment Deadline

0 events,

0 events,

0 events,

1 event,

FINRA Rule 4570 (Custodian of Books & Records) – Proposed Changes – Request for Comment

FINRA Rule 4570 (Custodian of Books & Records) – Proposed Changes – Request for Comment

0 events,

0 events,

1 event,

1 event,

2 events,

Monthly & Fifth FOCUS Part II/IIA Filings (month ending 11/30/2018)

Monthly & Fifth FOCUS Part II/IIA Filings (month ending 11/30/2018)

1 event,

2 events,

Outside Business Activity Review (FINRA Rule 3270)

Outside Business Activity Review (FINRA Rule 3270)

1 event,

1 event,

5 events,

Review and update Firm Element Continuing Education Plan

Review and update Firm Element Continuing Education Plan

Supplementary Inventory Schedule Reporting period end date of 11-30-2018

Supplementary Inventory Schedule Reporting period end date of 11-30-2018

Annual Audit Filing Due Date (Year Ending October 31, 2018)

Annual Audit Filing Due Date (Year Ending October 31, 2018)

2 events,

2 events,

FINRA Renewal Program – Final Statement Available

FINRA Renewal Program – Final Statement Available

Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD

Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD

1 event,

-

Short Interest Reporting Due Date for 12/31/2018

0 events,

0 events,

0 events,

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