Events Calendar

Key Dates in 2009

NOTE:  Contact Sponsoring Organization to Register or for Event Details.

Nov 16-17. Compliance 101 for IT Professionals

  • Fincl Markets World (www.fmwonline.com)
  • New York, NY

Nov 18. NY Fall Compliance & Legal Seminar

  • SIFMA C&L Div. (www.sifmacl.org)
  • Marriott Marquis, New York, NY

Nov 18-19. Securities Operations BootCamp

  • Fincl Markets World (www.fmwonline.com)
  • New York, NY

Nov 26.  HOLIDAY:  Thanksgiving

  • Markets Closed

Dec 1. OFAC Financial Sector Symposium

  • OFAC/U.S. Treasury. (www.ustreas.gov)
  • Federal Reserve Bank Conference Center,  New York, NY

Dec 2. Hedge Fund Compliance & Risk Seminar

  • Fincl Technologies Forum (www.ftfnews.com)
  • New York, NY

Dec 25.  Holiday:  Christmas Day

  • Markets Closed

Jan 15, 2010. Quarterly Customer Complaints Due

  • NASD Rule 3070
  • NYSE Rule 351  

Posted at 02:10 PM | Permalink | Comments (0) | TrackBack (0)