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10 events found.

Compliance

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Today
  • January 2025

  • Wed 1

    First Day of Form A-12 Annual Affirmation Period

    January 1, 2025 @ 12:00 am - January 2, 2025 @ 12:00 am
  • Wed 1

    First Day to File Form G-37 for Quarter Ending December 31

    January 1, 2025 @ 12:00 am - January 2, 2025 @ 12:00 am
  • Tue 28

    Rate Card RFI Comment Deadline

    January 28, 2025 @ 12:00 am - January 29, 2025 @ 12:00 am
  • Fri 31

    Last Day to File Form G-37 for Quarter Ending Dec 31

    January 31, 2025 @ 12:00 am - February 1, 2025 @ 12:00 am
  • Fri 31

    Last Day of Form A-12 Annual Affirmation Period

    January 31, 2025 @ 12:00 am - February 1, 2025 @ 12:00 am
  • Fri 31

    Rule A-11 Annual Municipal Advisor Professional Fee Assessed

    January 31, 2025 @ 12:00 am - February 1, 2025 @ 12:00 am
  • March 2025

  • Sat 1

    Last Day to Submit Form G-45 Report for Semi-Annual Reporting Period

    March 1, 2025 @ 12:00 am - March 2, 2025 @ 12:00 am
  • Mon 3

    Compliance Date for Amendments to Rule G-47

    March 3, 2025 @ 12:00 am - March 4, 2025 @ 12:00 am
  • Mon 3

    Amendments to Rule G-47 Time of Trade Disclosure

    March 3, 2025 @ 12:00 am - March 4, 2025 @ 12:00 am
  • Fri 28

    RSSS Retirement

    March 28, 2025 @ 12:00 am - March 29, 2025 @ 12:00 am
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