Compliance Calendar

View upcoming compliance dates and events below, or download a PDF version here.

Have a suggestion for the compliance calendar? Contact the MSRB at compliance@msrb.org. 


 
Category       Regulated Entity
REMINDER   MA = Municipal Advisor
EFFECTIVE DATE   BD = Broker, Dealer or Municipal Securities Dealer
EVENT   MA/BD = All MSRB- registered firms

August 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat
       
  1   2   3   4  






5   6   7   8   9   10   11  






REMINDER

Last day to submit input on Retrospective Review of 2012 Interpretive Notice Concerning Application of MSRB Rule G-17 to Underwriters of Municipal Securities (MA/BD)

12   13   14   15   16   17   18  







19   20   21   22   23   24   25  






26   27   28   29   30   31  
 






REMINDER

Last day to submit Form G-45 for period ending June 30, 2018 (BD) 
Note: First deadline for ABLE program reporting


September 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat
       
 
 
 
  1  






2   3   4   5   6   7   8  






9   10   11   12   13   14   15  






EVENT

Compliance Workshop on MSRB Rule G-37: Completing Form G-37
(MA/BD)

16   17   18   19   20   21   22  






REMINDER

Last day to submit input on Draft Amendments to MSRB Rules on Primary Offering Practices (MA/BD)

23   24   25   26   27   28   29  






30  
 
                 






 


October 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat

  1   2   3   4   5   6  






EFFECTIVE DATE

Implementation date for modified professional qualifications program under Rule G-3 (MA/BD)

7   8   9   10   11   12   13  






14   15   16   17   18   19   20  






21   22   23   24   25   26   27  







28   29   30   31  
 
 
 






REMINDER

Last day to make timely payment for annual registration fee(s), under Rule A-12 (MA/BD)

REMINDER

Last day to submit Form G-37 Quarterly Disclosures (MA/BD)

See Rule G-37 Interpretive FAQs


Note: This resource is intended for general information purposes only. Information in this resource is provided without warranties, express or implied. The MSRB shall have no liability to any recipient, including for any inaccuracies, errors or omissions or other defects in the information or any damages resulting therefrom. The information contained herein is not intended to provide legal advice and does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities or liabilities.

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