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

January 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat
    1   2   3   4   5   6  
 

EFFECTIVE DATE 

Rule G-3, on Continuing Education Requirements (MA)
7   8   9   10   11   12   13  






14   15   16   17   18   19   20  






21   22   23   24   25   26   27  






REMINDER 

Last day to submit Form A-12 Affirmation (MA/BD)
28   29   30   31              







EFFECTIVE DATE 

REMINDER

Last day to review SEC Form MA-I (MA)

REMINDER

 


February 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat
                1   2   3  
 





     
4   5   6   7   8   9   10  






REMINDER

11   12   13   14   15   16   17  






18   19   20   21   22   23   24  







25   26   27   28              






 


March 2018 Compliance Calendar

Sun Mon Tue Wed Thu Fri Sat
                1   2   3  






REMINDER

4   5   6   7   8   9   10  






EVENT

11   12   13   14   15   16   17  






18   19   20   21   22   23   24  






25   26   27   28   29   30   31  






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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