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 Broker/Dealer Compliance Calendar 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

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 1 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Contents Quick Guide……………………………………………………………..

03

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

11

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

04

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

12

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

04

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

14

January………………………………………………………….......

04

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

15

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

05

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

16

March ………………………………………………………...…......

07

November……………………………………………………………………..

18

April…………………………………………………………….........

08

December……………………………………………………………………..

19

May……………………………………………………………..........

10

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

22

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Page 2 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Quick Guide JANUARY

FEBRUARY

M

T

W

T

4 11 18 25

5 12 19 26

6 13 20 27

7 14 21 28

F 1 8 15 22 29

S 2 9 16 23 30

S 3 10 17 24 31

MAY

M 1 8 15 22 29

T 2 9 16 23

W 3 10 17 24

MARCH T 4 11 18 25

F 5 12 19 26

S 6 13 20 27

S 7 14 21 28

JUNE

M

T

W

T

F

S

2 9 16 23 30

3 10 17 24 31

4 11 18 25

5 12 19 26

6 13 20 27

7 14 21 28

S 1 8 15 22 29

SEPTEMBER M

T

W

5 12 19 26

6 13 20 27

7 14 21 28

T 1 8 15 22 29

M

T

6 13 20 27

7 14 21 28

S 3 10 17 24

S 4 11 18 25

7 14 21 28

T 1 8 15 22 29

W 2 9 16 23 30

T 3 10 17 24 31

F 4 11 18 25

S 5 12 19 26

S 6 13 20 27

JULY W 1 8 15 22 29

T 2 9 16 23 30

F 3 10 17 24

S 4 11 18 25

S 5 12 19 26

OCTOBER F 2 9 16 23 30

M

APRIL

T

W

T

F

3 10 17 24 31

4 11 18 25

5 12 19 26

6 13 20 27

7 14 21 28

S 1 8 15 22 29

S 2 9 16 23 30

M

T

W

T

4 11 18 25

5 12 19 26

6 13 20 27

7 14 21 28

M 7 14 21 28

T 1 8 15 22 29

T

W

T 7 14 21 28

F 1 8 15 22 29

S 2 9 16 23 30

S 3 10 17 24

4 11 18 25

5 12 19 26

6 13 20 27

T 4 11 18 25

F 5 12 19 26

S 6 13 20 27

S 7 14 21 28

T 1 8 15 22 29

F 2 9 16 23 30

S 3 10 17 24 31

S 4 11 18 25

AUGUST F 1 8 15 22 29

S 2 9 16 23 30

S 3 10 17 24 31

NOVEMBER

M

M

W 2 9 16 23 30

T 3 10 17 24

M 1 8 15 22 29

T 2 9 16 23 30

W 3 10 17 24 31

DECEMBER F 4 11 18 25

S 5 12 19 26

S 6 13 20 27

M

T

W

5 12 19 26

6 13 20 27

7 14 21 28

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

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 3 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Update: February 28, 2016

Due Date

Completed

By Scott P. Tarra Managing Principal starra@financialreg.com 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

New Year’s Day

Market Holiday

Annually

2016 Final Renewal Statement Availability Implementation Date-- FINRA Approval of Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements

Renewals

Annually

FINOP/DSP

FINRA Renewal Program Calendar

Licensing/Registration

Periodic

CCO/DSP

01/05/16

Short-Interest Reporting Deadline (Settlement Date of December 31, 2015)

Financial Reporting

Bi-Weekly

FINOP

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

Date Driven Tasks (based on Calendar Year due dates) 01/01/16 01/04/16 01/04/16

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Page 4 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

Rule/Reference

01/15/16

Completed

N/A

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

01/27/16

Annual Schedule I Filing (for FYE December 31, 2015)

Financial Reporting

Annually

FINOP

01/27/16

Monthly and Fifth FOCUS II/IIA Filing (Period End December 31, 2015)

Financial Reporting

Monthly

FINOP

01/27/16

Quarterly FOCUS II/IIA Filing (Quarter End December 31, 2015)

Financial Reporting

Quarterly

FINOP

01/27/16

Financial Reporting

Quarterly

FINOP

01/27/16

Form Custody (Quarter End December 31, 2015) Complete Monthly Financials and Net Capital Calculation (Period End December 31, 2015)

FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5; FINRA Information Notice12/14/15 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

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

01/29/16

Annual Audit Report (for FYE November 30, 2015)

Financial Reporting

Annually

FINOP

MSRB Rule A-12(k) 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

01/31/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

02/01/16

Financial Reporting

Monthly

FINOP

02/01/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End December 31, 2015) Effective Date-- Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities

Section 314(a) of the USA PATRIOT Act FINRA Rule 4524; FINRA Regulatory Notice 14-43

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

02/02/16

Short-Interest Reporting Deadline (Settlement Date of January 29, 2016)

Financial Reporting

Bi-Weekly

FINOP

FINRA Rule 4524; FINRA Notice12-11 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

02/08/16

Customer Margin Balance Form Filing (Period End January 29, 2016)

Financial Reporting

Monthly

FINOP

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

FINRA Rule 4524; FINRA Regulatory Notice 13-10 FINRA Rule 4210; FINRA Regulatory Notice 10-08

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2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

02/11/16

Annual Entitlement User Accounts Certification Process (for SAA)

Regulatory Reporting

Annually

CCO

02/15/16

Month-end Compliance Review & Recap (Month-end January 31, 2016)

Supervision

Monthly

CCO/DSP

Rule/Reference Entitlement User Accounts Certification Process Quick Reference Guide

02/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

02/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) 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

02/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) 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

Trading

Monthly

CCO/DSP

02/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

FINRA Rule 3110(d) 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

02/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

02/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

AMLCO

Section 314(a) of the USA PATRIOT Act

02/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

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

02/17/16

Short-Interest Reporting Deadline (Settlement Date of February 12, 2016) Effective Date-- SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports

Financial Reporting

Bi-Weekly

FINOP

Research

Periodic

CCO/DSP

02/22/16

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Section 31 of the Exchange Act; FINRA Information Notice 1/20/16 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 FINRA Rule 2242; FINRA Regulatory Notice 15-31

Page 6 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

Financial Reporting

Monthly

FINOP

02/24/16

Monthly and Fifth FOCUS II/IIA Filing (Period End January 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End January 31, 2016)

Rule/Reference SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

Financial Reporting

Monthly

FINOP

SEA Rule 15c3-1

02/29/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

02/29/16

Annual Audit Report (for FYE December 31, 2015)

Financial Reporting

Annually

FINOP

02/29/16

Financial Reporting

Monthly

FINOP

02/29/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End January 31, 2016) SIPC-7 General Assessment Reconciliation Filing and Payment (for firms with December 31st FYE)

Financial Reporting

Bi-Annually

FINOP

03/02/16

Short-Interest Reporting Deadline (Settlement Date of February 29, 2016)

Financial Reporting

Bi-Weekly

FINOP

03/07/16

Implementation Date-- FINRA Revises the Series 9/10 Examination Program

Licensing/Registration

Periodic

CCO/DSP

03/08/16

Customer Margin Balance Form Filing (Period End February 29, 2016)

Financial Reporting

Monthly

FINOP

Section 314(a) of the USA PATRIOT Act SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15 FINRA Rule 4524; FINRA Regulatory Notice 14-43 Article 6 of Bylaws of the Securities Investor Protection Corporation FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Section 15A(g)(3); NASD Rule 1022(g); NASD Rule 1030 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

02/24/16

Completed

N/A

03/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

03/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

03/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

03/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

03/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

03/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

03/15/16

Trading

Monthly

CCO/DSP

03/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

03/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

03/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

03/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 7 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

03/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

03/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

Rule/Reference FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

03/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

03/17/16

Short-Interest Reporting Deadline (Settlement Date of March 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

03/23/16

Financial Reporting

Monthly

FINOP

03/23/16

Monthly and Fifth FOCUS II/IIA Filing (Period End February 29, 2016) Complete Monthly Financials and Net Capital Calculation (Period End February 29, 2016)

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

Financial Reporting

Monthly

FINOP

SEA Rule 15c3-1

03/25/16

Good Friday

Market Holiday

Annually

03/29/16

Financial Reporting

Monthly

FINOP

03/30/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End February 29, 2016) 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

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

03/31/16

Annual Audit Report (for FYE January 31, 2016)

Financial Reporting

Annually

FINOP

Section 314(a) of the USA PATRIOT Act SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

04/01/16

Financial Reporting

Annually

FINOP

FINRA Regulatory Notice 09-56

04/02/16

FINRA Gross Income Assessments (GIA) through E-Bill Effective Date-- SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems

Trading

Periodic

CCO/DSP

04/04/16

Short-Interest Reporting Deadline (Settlement Date of March 31, 2016)

Financial Reporting

Bi-Weekly

FINOP

FINRA Regulatory Notice 15-48 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

04/07/16

Alternative Periodic Reporting for Transactions in Muni Fund Securities

Munis.

Quarterly

Muni Principal

04/08/16

Financial Reporting

Monthly

FINOP

04/11/16

Customer Margin Balance Form Filing (Period End March 31, 2016) 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

MSRB Rule G-15(a)(vii)(B) FINRA Rule 4210; FINRA Regulatory Notice 10-08

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

Customer Accounts

Monthly

CCO/DSP

04/15/16

Sample Review of New Customer Accounts

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

FINRA Rule 4524; FINRA Regulatory Notice 14-43 FINRA Rule 2272; FINRA Regulatory Notice 15-34

FINRA Rule 3110(d)

Page 8 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

04/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

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

04/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

04/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

04/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

04/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

04/15/16

Trading

Monthly

CCO/DSP

04/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

04/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

04/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

04/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

04/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

04/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

04/15/16

Quarterly Reporting of Customer Complaints (Qtr. Ending March 31, 2016)

Regulatory Reporting

Quarterly

CCO

FINRA Rule 4530(d)

04/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

04/19/16

Short-Interest Reporting Deadline (Settlement Date of April 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

04/25/16

Financial Reporting

Quarterly

FINOP

04/25/16

Form Custody (Quarter End March 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End March 31, 2016)

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

Financial Reporting

Monthly

FINOP

04/25/16

Quarterly FOCUS II/IIA Filing (Quarter End March 31, 2016)

Financial Reporting

Quarterly

FINOP

04/28/16

Supplemental Statement of Income (SSOI) (Quarter End March 31, 2016)

Financial Reporting

Quarterly

FINOP

04/28/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End March 31, 2016)

Financial Reporting

Monthly

FINOP

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

SEA Rule 15c3-1 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 FINRA Rule 4524; FINRA Notice12-11 FINRA Rule 4524; FINRA Regulatory Notice 14-43 Page 9 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

04/29/16

Annual Audit Report (for FYE February 29, 2016)

Financial Reporting

Annually

FINOP

Rule/Reference SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

04/30/16

Quarterly Disclosure of Order Routing

Trading

Quarterly

CCO/DSP

SEC Rule 606

04/30/16

MSRB Rule G-37 Reporting Requirement

Munis.

Quarterly

Muni Principal

MSRB Rule G-37(e)

04/30/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act

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

05/09/16

Customer Margin Balance Form Filing (Period End April 29, 2016)

Financial Reporting

Monthly

FINOP

05/15/16

Month-end Compliance Review & Recap (Month-end April 30, 2016)

Supervision

Monthly

CCO/DSP

FINRA Rule 4524; FINRA Regulatory Notice 13-10 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 FINRA Rule 4210; FINRA Regulatory Notice 10-08

05/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

05/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

05/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

05/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

05/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

05/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

05/15/16

Trading

Monthly

CCO/DSP

05/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

05/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

05/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

05/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

05/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 10 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

05/15/16

Completed

N/A

Compliance Requirement

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Category

Frequency

Assignment

Internal Controls

Monthly

CCO/DSP

05/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

05/17/16

Short-Interest Reporting Deadline (Settlement Date of May 13, 2016) Implementation Date-- SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report

Financial Reporting

Bi-Weekly

FINOP

Trading

Periodic

CCO/DSP

Financial Reporting

Monthly

FINOP

05/24/16

Monthly and Fifth FOCUS II/IIA Filings (Period End April 30, 2016) Complete Monthly Financials and Net Capital Calculation (Period End April 30, 2016)

Financial Reporting

Monthly

FINOP

05/27/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End April 30, 2016)

Financial Reporting

Monthly

FINOP

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

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

05/31/16

Annual Audit Report (for FYE March 31, 2016)

Financial Reporting

Annually

FINOP

06/02/16

Financial Reporting

Bi-Weekly

FINOP

06/06/16

Short-Interest Reporting Deadline (Settlement Date of May 31, 2016) 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

06/15/16

Month-end Compliance Review & Recap (Month-end May 31, 2016)

05/23/16 05/24/16

Rule/Reference Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2 Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 FINRA Rule 6730; FINRA Regulatory Notice 15-47 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 SEA Rule 15c3-1 FINRA Rule 4524; FINRA Regulatory Notice 14-43

Section 314(a) of the USA PATRIOT Act SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 FINRA Rule 2210; FINRA Regulatory Notice 15-50 FINRA Rule 4210; FINRA Regulatory Notice 10-08

Supervision

Monthly

CCO/DSP

06/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

06/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

06/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

06/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

06/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Page 11 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Category

Frequency

Assignment

Rule/Reference

06/15/16

Completed

N/A

Compliance Requirement Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

06/15/16

Trading

Monthly

CCO/DSP

06/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

06/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

06/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

06/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

06/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

06/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

06/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

06/17/16

Short-Interest Reporting Deadline (Settlement Date of June 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

06/23/16

Financial Reporting

Monthly

FINOP

06/23/16

Monthly and Fifth FOCUS II/IIA Filing (Period End May 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End May 31, 2016)

Financial Reporting

Monthly

FINOP

06/28/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End May 31, 2016)

Financial Reporting

Monthly

FINOP

06/29/16

Annual Audit Report (for FYE April 30, 2016)

Financial Reporting

Annually

FINOP

06/30/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

07/01/16

Clearing/Carrying Firm Notification and Submission of Activity/Exception Reports

Trading

Annually

CCO/DSP

Section 314(a) of the USA PATRIOT Act 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

07/07/16

Alternative Periodic Reporting for Transactions in Muni Fund Securities

Munis.

Quarterly

Muni Principal

07/11/16

Customer Margin Balance Form Filing (Period End June 30, 2016)

Financial Reporting

Monthly

FINOP

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 SEA Rule 15c3-1 FINRA Rule 4524; FINRA Regulatory Notice 14-43 SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

MSRB Rule G-15(a)(vii)(B) FINRA Rule 4210; FINRA Regulatory Notice 10-08 Page 12 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

Rule/Reference

07/15/16

Completed

N/A

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

07/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

07/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

07/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

07/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

07/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

07/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

07/15/16

Trading

Monthly

CCO/DSP

07/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

07/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

07/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

07/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

07/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

07/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

07/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

07/19/16

Short-Interest Reporting Deadline (Settlement Date of July 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

07/26/16

Form Custody (Quarter End June 30, 2016)

Financial Reporting

Quarterly

FINOP

07/26/16

Financial Reporting

Quarterly

FINOP

07/26/16

Quarterly FOCUS II/IIA Filing (Quarter End June 30, 2016) Complete Monthly Financials and Net Capital Calculation (Period End June 30, 2016)

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

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

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 13 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

Financial Reporting

Monthly

FINOP

07/30/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End June 30, 2016) SIPC-6 General Assessment Filing and Payment (for firms with December 31st FYE)

Financial Reporting

Bi-Annually

FINOP

Rule/Reference FINRA Rule 4524; FINRA Regulatory Notice 14-43 Article 6 of Bylaws of the Securities Investor Protection Corporation

07/31/16

Quarterly Disclosure of Order Routing

Trading

Quarterly

CCO/DSP

SEC Rule 606

07/31/16

MSRB Rule G-37 Reporting Requirement

Munis.

Quarterly

Muni Principal

MSRB Rule G-37(e)

07/31/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

08/01/16

Financial Reporting

Annually

FINOP

08/02/16

Annual Audit Report (for FYE May 31, 2016) 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

08/08/16

Customer Margin Balance Form Filing (Period End July 29, 2016)

Financial Reporting

Monthly

FINOP

Section 314(a) of the USA PATRIOT Act SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15 FINRA Rule 4524; FINRA Regulatory Notice 13-10 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 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

07/29/16

Completed

N/A

08/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

08/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

08/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

08/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

08/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

08/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

08/15/16

Trading

Monthly

CCO/DSP

08/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

08/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

08/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

08/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 14 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

08/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

08/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

Rule/Reference FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

08/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

08/17/16

Short-Interest Reporting Deadline (Settlement Date of August 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

08/23/16

Financial Reporting

Monthly

FINOP

08/26/16

Monthly and Fifth FOCUS II/IIA Filing (Period End July 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End July 31, 2016)

Financial Reporting

Monthly

FINOP

08/26/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End July 31, 2016)

Financial Reporting

Monthly

FINOP

08/29/16

Annual Audit Report (for FYE June 30, 2016)

Financial Reporting

Annually

FINOP

08/31/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

09/02/16

Short-Interest Reporting Deadline (Settlement Date of August 31, 2016)

Financial Reporting

Bi-Weekly

FINOP

Section 314(a) of the USA PATRIOT Act 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

SEA Rule 15c3-1 FINRA Rule 4524; FINRA Regulatory Notice 14-43 SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

09/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

09/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

09/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

09/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

09/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

09/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 15 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Category

Frequency

Assignment

Rule/Reference

Trading

Monthly

CCO/DSP

09/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

09/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

09/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

09/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

09/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

09/15/16

09/15/16

Completed

N/A

Compliance Requirement

Internal Controls

Monthly

CCO/DSP

09/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

09/19/16

Short-Interest Reporting Deadline (Settlement Date of September 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

09/26/16

Financial Reporting

Monthly

FINOP

09/26/16

Monthly and Fifth FOCUS II/IIA Filing (Period End August 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End August 31, 2016)

Financial Reporting

Monthly

FINOP

09/29/16

Annual Audit Report (for FYE July 31, 2016)

Financial Reporting

Annually

FINOP

09/29/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End August 31, 2016)

Financial Reporting

Monthly

FINOP

SEA Rule 15c3-1 SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15 FINRA Rule 4524; FINRA Regulatory Notice 14-43

09/30/16

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act

10/03/16

FinCEN 314(a) Notification Review & Download on SISS Review of all registered persons and branch offices for proper reporting through Web CRD® in preparation for 2017 Renewals

Renewals

Annually

FINOP/DSP

10/04/16

Short-Interest Reporting Deadline (Settlement Date of September 30, 2016)

Financial Reporting

Bi-Weekly

FINOP

FINRA Renewal Program Calendar FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

10/07/16

Alternative Periodic Reporting for Transactions in Muni Fund Securities

Munis.

Quarterly

Muni Principal

10/10/16

Customer Margin Balance Form Filing (Period End September 30, 2016)

Financial Reporting

Monthly

FINOP

MSRB Rule G-15(a)(vii)(B) 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

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

Page 16 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Category

Frequency

Assignment

Rule/Reference

10/15/16

Completed

N/A

Compliance Requirement Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

10/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

10/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

10/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

10/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

10/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

10/15/16

Trading

Monthly

CCO/DSP

10/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

10/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

10/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

10/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

10/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

10/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

10/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

10/18/16

Short-Interest Reporting Deadline (Settlement Date of October 14, 2016)

Financial Reporting

Bi-Weekly

FINOP

10/25/16

Form Custody (Quarter End September 30, 2016)

Financial Reporting

Quarterly

FINOP

10/25/16

Quarterly FOCUS II/IIA Filings (Quarter End September 30, 2016) Complete Monthly Financials and Net Capital Calculation (Period End September 30, 2016)

Financial Reporting

Quarterly

FINOP

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

Financial Reporting

Monthly

FINOP

SEA Rule 15c3-1

Supplemental Statement of Income (SSOI) (Quarter End September 30, 2016) Supplemental Inventory Schedule (SIS) Filing (Quarter End September 30, 2016)

Financial Reporting

Quarterly

FINOP

Financial Reporting

Monthly

FINOP

FINRA Rule 4524; FINRA Notice12-11 FINRA Rule 4524; FINRA Regulatory Notice 14-43

10/28/16 10/28/16 10/28/16

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 17 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

10/31/16

Annual Audit Report (for FYE August 31, 2016)

Financial Reporting

Annually

FINOP

Rule/Reference 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)

10/31/16

Quarterly Disclosure of Order Routing

Trading

Quarterly

CCO/DSP

SEC Rule 606

10/31/16

MSRB Rule G-37 Reporting Requirement

Munis.

Quarterly

Muni Principal

MSRB Rule G-37(e)

10/31/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act

Renewals

Annually

FINOP/DSP

Financial Reporting

Quarterly

FINOP

FINRA Renewal Program Calendar FINRA Rule 4524; FINRA Regulatory Notice 13-10

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 Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending September 30, 2016)

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

11/02/16

Short-Interest Reporting Deadline (Settlement Date of October 31, 2016)

Financial Reporting

Bi-Weekly

FINOP

11/08/16

Customer Margin Balance Form Filing (Period End October 31, 2016)

Financial Reporting

Monthly

FINOP

FINRA Renewal Program Calendar FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 FINRA Rule 4210; FINRA Regulatory Notice 10-08

11/11/16

Federal Holiday

Annually

11/14/16

Veterans Day 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

11/01/16

11/15/16

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

11/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

11/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

11/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

11/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

11/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

11/15/16

Sample Review of Selected Activity/Exception Reports

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 18 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date 11/15/16

Completed

N/A

Compliance Requirement Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Category

Frequency

Assignment

Communications

Monthly

CCO/DSP

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

11/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

11/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

11/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

11/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

11/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

11/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

11/17/16

Short-Interest Reporting Deadline (Settlement Date of November 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

11/23/16

Financial Reporting

Monthly

FINOP

11/23/16

Monthly and Fifth FOCUS II/IIA Filing (Period End October 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End October 31, 2016)

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

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

11/29/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End October 31, 2016)

Financial Reporting

Monthly

FINOP

11/30/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

12/02/16

Short-Interest Reporting Deadline (Settlement Date of November 30, 2016)

Financial Reporting

Bi-Weekly

FINOP

12/08/16

Customer Margin Balance Form Filing (Period End November 30, 2016)

Financial Reporting

Monthly

FINOP

Section 314(a) of the USA PATRIOT Act FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 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

Customer Accounts

Monthly

CCO/DSP

12/15/16

Sample Review of New Customer Accounts

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15 FINRA Rule 4524; FINRA Regulatory Notice 14-43

FINRA Rule 3110(d) Page 19 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Compliance Requirement

Category

Frequency

Assignment

12/15/16

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

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

12/15/16

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

12/15/16

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

12/15/16

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

12/15/16

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

12/15/16

Trading

Monthly

CCO/DSP

12/15/16

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

12/15/16

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

12/15/16

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

12/15/16

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

12/15/16

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

12/15/16

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2

12/15/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act

12/16/16

Deadline for receipt of 2017 Preliminary Renewal Statement payments

Renewals

Annually

FINOP/DSP

12/19/16

Short-Interest Reporting Deadline (Settlement Date of December 15, 2016)

Financial Reporting

Bi-Weekly

FINOP

12/23/16

Monthly and Fifth FOCUS II/IIA Filing (Period End November 30, 2016) Complete Monthly Financials and Net Capital Calculation (Period End November 30, 2016)

Financial Reporting

Monthly

FINOP

FINRA Renewal Program Calendar FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101 SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15

Financial Reporting

Monthly

FINOP

SEA Rule 15c3-1

Christmas Day Last Day to submit 2017 Preliminary Renewal Filing and Payment prior to yearend Web CRD/IARD are unavailable due to Final Renewal Statement and renewals processing

Market Holiday

Annually

Renewals

Annually

FINOP/DSP

FINRA Renewal Program Calendar

Renewals

Annually

FINOP/DSP

FINRA Renewal Program Calendar

12/23/16 12/26/16 12/26/16 12/28/16

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 20 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

12/29/16

Supplemental Inventory Schedule (SIS) Filing (Quarter End November 30, 2016)

Financial Reporting

Monthly

FINOP

12/30/16

Financial Reporting

Annually

FINOP

12/30/16

Annual Audit Report (for FYE October 31, 2016) Web CRD/IARD are available for QUERY-only and the creation of "Pending" 2017 Renewal filings

Rule/Reference FINRA Rule 4524; FINRA Regulatory Notice 14-43 SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

Renewals

Annually

FINOP/DSP

FINRA Renewal Program Calendar

12/31/16

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

12/31/16

Annual Disclosures to Clients (Privacy Policy; BCP; AML, SIPC, BrokerCheck; Order Routing; Payment for Order Flow; Margin, etc.)

Communications

Annually

CCO

Section 314(a) of the USA PATRIOT Act 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

Supervision

Annually

CCO/DSP

FINRA Rule 3110

Internal Controls

Annually

CCO/DSP

FINRA Rule 3120 & 3130

Education & Training

Annually

CCO/DSP

FINRA Rule 1250

Internal Controls

Annually

CCO/DSP

FINRA Rule 4370

12/31/16

Year-End Compliance Review Checklist Year-End Review/Update of Written Supervisory Procedures- Approval by CCO Year-End Review/Update of Continuing Education Program (CEP)Approval by CCO Year-End Review/Update of Business Continuity Plan (BCP)- Approval by CCO 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

12/31/16

Year-End Review/Update of Cybersecurity Procedures- Approval by CCO

Cybersecurity

Annually

CCO/CIO

FINRA Rule 3310 FINRA Report on Cybersecurity PracticesFeb. 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

12/31/16

Due Diligence

Annually

CCO/DSP

Personnel

Annually

CCO/DSP

FINRA Rule 3110(a)(4)&(5)

12/31/16

Year-End Review of Third-Party Service Providers (Contracts/Services) Year-End Review of Registered/Associated Persons List (Including Recently Hired/Terminated Rep Lists) Annual Review of FINRA Membership Agreement and Form BD for material changes/updates

SEC Regulation S-P FINRA Regulatory Notice 11-14; Proposed FINRA Rule 3190

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 12/31/16 12/31/16 12/31/16

12/31/16

Completed

N/A

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar © 2016 Financial Registrations, Inc.

Page 21 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Completed

N/A

Category

Frequency

Assignment

Rule/Reference

12/31/16

Compliance Requirement Year-End Review and Update of Expense Sharing Agreement (if applicable)

Financial Reporting

Annually

FINOP

01/04/17

Short-Interest Reporting Deadline (Settlement Date of December 30, 2016)

Financial Reporting

Bi-Weekly

FINOP

FINRA Notice to Members 03-63 FINRA Rule 4560; FINRA Rule 3360; NTM99-70; NTM 99-101

01/06/17

Alternative Periodic Reporting for Transactions in Muni Fund Securities

Munis.

Quarterly

Muni Principal

01/10/17

Customer Margin Balance Form Filing (Period End December 31, 2016)

Financial Reporting

Monthly

FINOP

MSRB Rule G-15(a)(vii)(B) FINRA Rule 4210; FINRA Regulatory Notice 10-08

01/15/17

FinCEN 314(a) Notification Review & Download on SISS

AML

Bi-Monthly

AMLCO

Section 314(a) of the USA PATRIOT Act

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

01/15/17

Sample Review of New Customer Accounts

Customer Accounts

Monthly

CCO/DSP

01/15/17

Review & Confirm OFAC Check/CIP Verification on New Client Accounts

AML

Monthly

CCO/DSP

FINRA Rule 3110(d) FINRA Rule 3310; Section 326 of the USA Patriot Act; US Treasury's Office of Foreign Asset Control's Sanctions Program

01/15/17

Sample Review of Transactions

Trading

Monthly

CCO/DSP

FINRA Rule 3110(d)

01/15/17

Sample Review of New Rep files

Personnel

Monthly

CCO/DSP

01/15/17

Review of Customer Complaints

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3110(e) FINRA Rule 3110(5); FINRA Rule 4530(a)&(b)

01/15/17

Sample Review of Gifts & Gratuities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3220

01/15/17

Trading

Monthly

CCO/DSP

01/15/17

Sample Review of Selected Activity/Exception Reports Sample Review of Correspondence, Retail/Institutional Communications (written/electronic)

Communications

Monthly

CCO/DSP

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

01/15/17

Sample Review of Outside Brokerage Account Statements

Internal Controls

Monthly

CCO/DSP

NASD Rule 3050

01/15/17

Sample Review of Outside Business Activities

Internal Controls

Monthly

CCO/DSP

FINRA Rule 3270

01/15/17

Sample Review of Private Securities Transactions

Internal Controls

Monthly

CCO/DSP

01/15/17

Review of Social Media Use by Associated Persons

Communications

Monthly

CCO/DSP

01/15/17

Sample Review of Trade Activity against Restricted Securities/Watch List(s)

Internal Controls

Monthly

CCO/DSP

Financial Reporting

Annually

FINOP

FINRA Rule 3280 FINRA Rule 3110(4); FINRA Rule 2210(b)(1); FINRA Regulatory Notice 12-29 Insider Trading and Securities Fraud Enforcement Act of 1988; FINRA Rule 5130; SEC Rule 10b5-1 & 2 SEA Rule 17a-5; FINRA Information Notice12/14/15

01/26/17

Annual Schedule I Filing (for FYE December 31, 2016)

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Page 22 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar Due Date

Compliance Requirement

Category

Frequency

Assignment

01/26/17

Quarterly FOCUS II/IIA Filing (Quarter End December 31, 2016)

Financial Reporting

Quarterly

FINOP

01/26/17

Financial Reporting

Quarterly

FINOP

01/26/17

Form Custody (Quarter End December 31, 2016) Complete Monthly Financials and Net Capital Calculation (Period End December 31, 2016)

Financial Reporting

Monthly

FINOP

01/29/17

Annual Audit Report (for FYE November 30, 2016)

Financial Reporting

Annually

FINOP

SEA Rule 15c3-1 SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

01/31/17

Quarterly Disclosure of Order Routing

Trading

Quarterly

CCO/DSP

SEC Rule 606

01/31/17

MSRB Rule G-37 Reporting Requirement

Munis.

Quarterly

Muni Principal

MSRB Rule G-37(e)

01/31/17

Supplemental Statement of Income (SSOI) (Quarter End December 31, 2016)

Financial Reporting

Quarterly

FINOP

01/31/17

Financial Reporting

Monthly

FINOP

Financial Reporting

Quarterly

FINOP

03/01/17

Supplemental Inventory Schedule (SIS) Filing (Quarter End December 31, 2016) Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS) (Quarter Ending December 31, 2016) 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

FINRA Rule 4524; FINRA Notice12-11 FINRA Rule 4524; FINRA Regulatory Notice 14-43 FINRA Rule 4524; FINRA Regulatory Notice 13-10 Article 6 of Bylaws of the Securities Investor Protection Corporation SEA Rule 17a-5(d); FINRA Information Notice- 12/14/15

02/02/17

Completed

N/A

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Rule/Reference SEA Rule 17a-5(a); FINRA Information Notice- 12/14/15 SEA Rule 17a-5(a)(5); FINRA Information Notice- 12/14/15

Page 23 of 24 BDCC Ver. 02292016

2016 Broker/Dealer Compliance Calendar 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.

For more information on this topic or other compliance related matters, please contact: Scott P. Tarra Managing Principal starra@financialreg.com

Brian K. Miller VP Business Development bmiller@financialreg.com

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.

Financial Registrations, Inc. 25602 Alicia Parkway #107 Laguna Hills, CA 92653 www.financialregistrations.com

Toll-free (800) 641-1818 Direct (949) 770-6154 Fax (949) 770-6198

Recent Publications 2016 State Requirements for Broker/Dealer Annual Audited Financial Statements

2016 Client Advisory Series No. 14- Broker/Dealer Compliance Calendar Š 2016 Financial Registrations, Inc.

Investment Adviser State De Minimis Exemptions

Common Types of Exam Deficiencies for Investment Advisers

Page 24 of 24 BDCC Ver. 02292016