Here are some important upcoming Compliance dates to remember.
CE Deadline: October 30
Branch Exam Deadline: October 30
Renewal Deadline – October 30
Quarterly Transaction Report, Political Activity Certification, Annual Holdings Report and the Annual Registered Representative Questionnaire Deadline – October 30
Supervisor Connect – Nov 4
Deadline for Termination Requests – December 14
Termination date for RRs who do not renew – December 31
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