Key Dates in 2009
NOTE: Contact Sponsoring Organization to Register or for Event Details.
Jul 15. Quarterly Customer Complaints Due
- NASD Rule 3070
- NYSE Rule 351
Jul 16. Small Firms Conference
- FINRA (www.finra.org)
- Chicago, IL
Sep 7. Holiday: Labor Day
- Markets Closed
Sep 11. Commemorate Rebuilding of World Trade Center
- The World.
- Ground Zero, New York, NY
Oct 1. Small Firm Conference
- FINRA (www.finra.org)
- San Francisco, CA
Oct 5-7. National Membership Meeting
- NSCP (www.nscp.org)
- Marriott Downtown, Philadelphia, PA
Oct 12. Holiday: Columbus Day
- Markets Open.
- Banks Closed - no settlements today
Oct 15. Quarterly Customer Complaints Due
- NASD Rule 3070
- NYSE Rule 351
Oct 21-22. Advertising Regional Conference
- FINRA (www.finra.org)
- Washington, DC
Nov 1. Daylight Saving Time Ends
Nov 11. Holiday: Veteran's Day
- Markets Open.
- Banks Closed - no settlements today
Nov 26. HOLIDAY: Thanksgiving
- Markets Closed
Dec 25. Holiday: Christmas Day
- Markets Closed
Jan 15, 2010. Quarterly Customer Complaints Due
- NASD Rule 3070
- NYSE Rule 351