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