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


April 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   16   17   18   19   20   21  






22   23   24   25   26   27   28  






REMINDER

Certification of compliance and supervisory procedures must be completed annually, under Rule G-44(d), between April 23, 2017 and April 23, 2018 (MA)


29   30                      






REMINDER

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

See Rule G-37 Interpretive FAQs 

REMINDER

 


May 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   16   17   18   19  






EFFECTIVE DATE

Rule G-15, on Confirmation, Clearance, Settlement and Other Uniform Practice Requirements; and Rule G-30, on Prices and Commissions (BD)


20   21   22   23   24   25   26  






EVENT

Compliance Workshop: Small Firm Municipal Advisor Supervision
(MA)

27   28   29   30   31  
 
 






REMINDER



June 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   16  






EFFECTIVE DATE

Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements (MA/BD)

17   18   19   20   21   22   23  






EVENT

Compliance Workshop on MSRB Rule G-17: Making Disclosures 
(MA/BD)

24   25   26   27   28   29   30  






EFFECTIVE DATE

Amended Form G-45 on data collection for 529 plans/ABLE programs (BD)

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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