LOG OUT  |   MY PROFILE  |   CONTACT US  |   HELP
 
Log in to CCH Wall St. |  Sign up with CCH Wall St.

 

CCH Wallstreet Consolidated Calendar Events List as of 8-Oct-08 3:12 AM

13-Oct-08 Monday
12 13 14 15 16 17 18
 

CFDD 2008 Advisor Conference  

  Mon 13-Oct-08 8:30 AM to Wed 15-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/734
  CFDD 2008 Advisor Conference Fairmont Scottsdale Princess Resort Scottsdale, Arizona 630-662-0284 www.The CFDD.com

17-Oct-08 Friday
12 13 14 15 16 17 18
 

Alliance of Cambridge Advisors Annual Conference  

  Fri 17-Oct-08 8:30 AM to Tue 21-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/735
  Alliance of Cambridge Advisors Annual Conference Loews Vanderbilt Hotel Nashville, Tennessee www.sambridgeadvisors.com

19-Oct-08 Sunday
19 20 21 22 23 24 25
 

Association for Financial Professionals Annual Conference  

  Sun 19-Oct-08 8:30 AM to Wed 22-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/736
  Association for Financial Professionals Annual Conference California Convention Center Los Angeles, California 301.907.2862 ... more at

20-Oct-08 Monday
19 20 21 22 23 24 25
 

Retirement Income Symposium  

  Mon 20-Oct-08 8:30 AM to Tue 21-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/737
  Retirement Income Symposium Embassy Suites Chicago - Downtown/Lakefront Chicago, Illinois 800-831-8333 www.nucoevents.com

23-Oct-08 Thursday
19 20 21 22 23 24 25
 

Reuters AdvicePoint Forum 2008  

  Thu 23-Oct-08 8:30 AM to Thu 23-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/738
  Reuters AdvicePoint Forum 2008 Hilton Rye Town Rye Brooke, New York 713-375-4699 www.reutersadvicepoint.com

26-Oct-08 Sunday
26 27 28 29 30 31 1
 

IIR: Global Hedge Fund Summit  

  Sun 26-Oct-08 8:30 AM to Tue 28-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/723
  IIR: Global Hedge Fund Summit The Fairmont Southampton Bermuda http://marhedge.com/conferences/2008/bermuda/default.asp

27-Oct-08 Monday
26 27 28 29 30 31 1
 

IMCA Advanced Wealth Management Conference  

  Mon 27-Oct-08 8:30 AM to Tue 28-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/739
  IMCA Advanced Wealth Management Conference The Westin South Coast Plaza Costa Mesa, California 303-770-3377 www.imca.org

 

IIR: GAIM USA Fund of Funds  

  Mon 27-Oct-08 8:30 AM to Wed 29-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/724
  IIR: GAIM USA Fund of Funds New York http://www.iirusa.com/fundoffunds/event-home.xml

28-Oct-08 Tuesday
26 27 28 29 30 31 1
 

SIFMA Annual Meeting  

  Tue 28-Oct-08 8:30 AM to Tue 28-Oct-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/740
  SIFMA Annual Meeting Marriott Marquis New York, New York 212-313-1219 www.sifma.org

31-Oct-08 Friday
26 27 28 29 30 31 1
 

FSP Financial Services Forum  

  Fri 31-Oct-08 8:30 AM to Sun 2-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/741
  FSP Financial Services Forum Las Vegas, Nevada 800-927-2427 www.financialpro.org

3-Nov-08 Monday
2 3 4 5 6 7 8
 

Change to TRACE effective.  

  Mon 3-Nov-08 8:30 AM to Mon 3-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/703
  FINRA extended the deadline for the change to TRACE reporting requirements for automated reporting of equity-linked notes (ELNs). [Trade Reporting Notice July 28, 2008]

10-Nov-08 Monday
9 10 11 12 13 14 15
 

2008 NAPFA Northeast/Mid-Atlantic Conference  

  Mon 10-Nov-08 8:30 AM to Thu 13-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/743
  2008 NAPFA Northeast/Mid-Atlantic Conference Hershey, PA www.napfa.org 800-533-3131

 

401(k) Service Training Program  

  Mon 10-Nov-08 8:30 AM to Tue 11-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/742
  401(k) Service Training Program Robert Morris University Pittsburgh, Pennsylvania http://www.401kservicetraining.com/

11-Nov-08 Tuesday
9 10 11 12 13 14 15
 

GAIM Fund of Funds  

  Tue 11-Nov-08 8:30 AM to Thu 13-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/725
  GAIM Fund of Funds Geneva, Switzerland +44 207 017 7218

18-Nov-08 Tuesday
16 17 18 19 20 21 22
 

File short interest report  

  Tue 18-Nov-08 8:30 AM to Tue 18-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/662
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

19-Nov-08 Wednesday
16 17 18 19 20 21 22
 

The American College Knowledge Summit  

  Wed 19-Nov-08 8:30 AM to Fri 21-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/744
  The American College Knowledge Summit Hilton Hawaiian Village Waikiki, Hawaii 888-795-6310 www.theamericancollege.edu

 

Hedge Fund Intelligence: Absolute Return Symposium 2008  

  Wed 19-Nov-08 8:30 AM to Thu 20-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/726
  Hedge Fund Intelligence: Absolute Return Symposium 2008 New York 583 Park Avenue http://www.hedgefundintelligence.com/Event.aspx?ProductID=9729 ... more at

20-Nov-08 Thursday
16 17 18 19 20 21 22
 

FINRA: Hedge Funds  

  Thu 20-Nov-08 8:30 AM to Thu 20-Nov-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/727
  FINRA: Hedge Funds Coleman Center New York www.finra.org

1-Dec-08 Monday
30 1 2 3 4 5 6
 

Institutional Investor: Hedge Fund Best Practices  

  Mon 1-Dec-08 8:30 AM to Wed 3-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/642
  Institutional Investor: Hedge Fund Best Practices Miami, Florida

2-Dec-08 Tuesday
30 1 2 3 4 5 6
 

Advisor Summit  

  Tue 2-Dec-08 8:30 AM to Wed 3-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/745
  Advisor Summit JW Marriott Pennsylvania Avenue Washington, DC 800-831-8333 www.nucoevents.com

3-Dec-08 Wednesday
30 1 2 3 4 5 6
 

Reuters AdvicePoint Forum  

  Wed 3-Dec-08 8:30 AM to Wed 3-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/746
  Reuters AdvicePoint Forum Hyatt Regency Houston, Texas 713-375-4699 www.reutersadvicepoint.com

7-Dec-08 Sunday
7 8 9 10 11 12 13
 

IMCA 2008 Practice Management Conference  

  Sun 7-Dec-08 8:30 AM to Tue 9-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/747
  IMCA 2008 Practice Management Conference Vail Marriott Mountain Resort & Spa Vail, Colorado 303-770-3377 www.imca.org

 

Alternative Investing Summit  

  Sun 7-Dec-08 8:30 AM to Tue 9-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/643
  Alternative Investing Summit Ritz-Carlton Laguna Niguel, California http://www.opalgroup.net/conferencehtml/2008/alternative08/alternative.php

10-Dec-08 Wednesday
7 8 9 10 11 12 13
 

Hedge Fund Investor Summit:  

  Wed 10-Dec-08 8:30 AM to Wed 10-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/728
  Hedge Fund Investor Summit: Identifying the Next Generation of Alpha New York

17-Dec-08 Wednesday
14 15 16 17 18 19 20
 

File short interest report.  

  Wed 17-Dec-08 8:30 AM to Wed 17-Dec-08 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/531
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

5-Jan-09 Monday
4 5 6 7 8 9 10
 

File short interest report.  

  Mon 5-Jan-09 8:30 AM to Mon 5-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/609
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

11-Jan-09 Sunday
11 12 13 14 15 16 17
 

2nd Annual Inside ETF Conference  

  Sun 11-Jan-09 8:30 AM to Tue 13-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/748
  2nd Annual Inside ETF Conference Boca Raton Resort & Club Boca Raton, FL www.InsideETFSconference.com 646.723.4591

15-Jan-09 Thursday
11 12 13 14 15 16 17
 

Deadline  

  Thu 15-Jan-09 8:30 AM to Thu 15-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/656
  Personal securities trades report due from access persons Copies of access person account statements due from broker-dealers Transmit or confirm ... more at

 

Deadline  

  Thu 15-Jan-09 8:30 AM to Thu 15-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/644
  Personal securities trades report due from access persons Copies of access person account statements due from broker-dealers Transmit or confirm ... more at

19-Jan-09 Monday
18 19 20 21 22 23 24
 

19th Annual Financial Symposium  

  Mon 19-Jan-09 8:30 AM to Tue 20-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/749
  19th Annual Financial Symposium FPA of Central Florida Hilton Orlando Altamonte Springs, Florida www.fpafla.com

 

File short interest report  

  Mon 19-Jan-09 8:30 AM to Mon 19-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/613
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

24-Jan-09 Saturday
18 19 20 21 22 23 24
 

Update contact information.  

  Sat 24-Jan-09 8:30 AM to Sat 24-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/614
  Deadline for mandatory annual review and, if necessary, update through the FINRA Contact System (FCS) [FINRA Regulatory Notice 07-42]. Review must be recorded with FINRA’s Contact System (FCS). · ... more at

26-Jan-09 Monday
25 26 27 28 29 30 31
 

GAIM USA 2009  

  Mon 26-Jan-09 8:30 AM to Thu 29-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/729
  GAIM USA 2009 Fontainbleau Hotel Miami, Florida http://www.gaimusa.com/

31-Jan-09 Saturday
25 26 27 28 29 30 31
 

Deadline  

  Sat 31-Jan-09 8:30 AM to Sat 31-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/645
  Deliver or offer to deliver Part II of Form ADV to investors* Deliver privacy notice* Determines assets under management to confirm proper state or SEC ... more at

 

Deadline  

  Sat 31-Jan-09 8:30 AM to Sat 31-Jan-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/657
  Deliver or offer to deliver Part II of Form ADV to investors* Deliver privacy notice* Determines assets under management to confirm proper state or SEC ... more at

1-Feb-09 Sunday
1 2 3 4 5 6 7
 

Deadline  

  Sun 1-Feb-09 8:30 AM to Sun 1-Feb-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/658
  Compliance Date for Investment Adviser Hedge Fund Rule

4-Feb-09 Wednesday
1 2 3 4 5 6 7
 

TD Ameritrade National Conference 2009  

  Wed 4-Feb-09 8:30 AM to Sat 7-Feb-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/750
  TD Ameritrade National Conference 2009 Caesars Hotel Las Vegas, Nevada

15-Feb-09 Sunday
15 16 17 18 19 20 21
 

Deadline  

  Sun 15-Feb-09 8:30 AM to Sun 15-Feb-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/659
  File Form 13F with the SEC

 

File Form 13F with the SEC  

  Sun 15-Feb-09 8:30 AM to Sun 15-Feb-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/646
  File Form 13F with the SEC

24-Feb-09 Tuesday
22 23 24 25 26 27 28
 

File FOCUS report.  

  Tue 24-Feb-09 8:30 AM to Tue 24-Feb-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/630
  File monthly FOCUS report. [’34 Act Rule 17a-5]

1-Mar-09 Sunday
1 2 3 4 5 6 7
 

File annual report for y/e 12/31.  

  Sun 1-Mar-09 8:30 AM to Sun 1-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/663
  Annual audit filing due for period ending December 31, 2008.

3-Mar-09 Tuesday
1 2 3 4 5 6 7
 

Odd-lot reporting amendment.  

  Tue 3-Mar-09 8:30 AM to Tue 3-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/664
  Effective date of changes to odd-lot reporting. [FINRA Regulatory Notice 07-63]

 

File short interest report.  

  Tue 3-Mar-09 8:30 AM to Tue 3-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/665
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

16-Mar-09 Monday
15 16 17 18 19 20 21
 

Form D electronic filing mandatory.  

  Mon 16-Mar-09 8:30 AM to Mon 16-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/667
  Issuers are now required to file ’33 Act Form D electronically with the SEC. [SEC Release No. 33-8891]

 

Rule 3012 Limited Size Exception reporting.  

  Mon 16-Mar-09 8:30 AM to Mon 16-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/666
  Firms that claim the limited size exemption must file annually with the FINRA, by the anniversary of their first filing. March 16 is the anniversary of the initial filing deadline. [FINRA Notice to ... more at

18-Mar-09 Wednesday
15 16 17 18 19 20 21
 

File short interest report.  

  Wed 18-Mar-09 8:30 AM to Wed 18-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/668
  For firms that clear transactions, file short interest report with designated SRO. [FINRA Rule 3360; NYSE Rule 421]

24-Mar-09 Tuesday
22 23 24 25 26 27 28
 

File FOCUS report.  

  Tue 24-Mar-09 8:30 AM to Tue 24-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/669
  [’34 Act Rule 17a-5]

31-Mar-09 Tuesday
29 30 31 1 2 3 4
 

Publish Rule 605 report.  

  Tue 31-Mar-09 8:30 AM to Tue 31-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/670
  For firms that make markets, deadline for publishing monthly Regulation NMS Rule 605 report of February order execution statistics.

 

Courtesy reminders.  

  Tue 31-Mar-09 8:30 AM to Tue 31-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/672
  Courtesy quarterly reminders: · Review Form BD for changes · Conduct best execution reviews · Review CRD Late Filing Fee Report to identify late filings and take corrective action

 

Deadline  

  Tue 31-Mar-09 8:30 AM to Tue 31-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/647
  File amendment of Form ADV with the SEC** File notice filings with applicable state(s) File Form 5s with SEC, appropriate exchanges and issuers*** ... more at

 

Deadline  

  Tue 31-Mar-09 8:30 AM to Tue 31-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/660
  File amendment of Form ADV with the SEC** File notice filings with applicable state(s) File Form 5s with SEC, appropriate exchanges and issuers*** ... more at

 

File Member Profile certification.  

  Tue 31-Mar-09 8:30 AM to Tue 31-Mar-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/671
  Deadline for filing the quarterly electronic certification for the current calendar quarter regarding the accuracy of Member Organization Profile Information. [NYSE Rule 416(a)]

1-Apr-09 Wednesday
29 30 31 1 2 3 4
 

File annual research attestation.  

  Wed 1-Apr-09 8:30 AM to Wed 1-Apr-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/675
  File annual attestation regarding FINRA Rule 2711 and NYSE Rule 472 compliance procedures on research activities and analysts’ compensation. [FINRA Notice to Members 04-18; NYSE information Memo 04-11]

 

Supervisory controls deadline.  

  Wed 1-Apr-09 8:30 AM to Wed 1-Apr-09 5:30 PM Morning Program
  http://compliancecorner.cchwallstreet.com/en/cev/674
  Deadline for completing testing of supervisory procedures and controls; meet with CEO; CEO certification. Submit the annual report of compliance matters to the NYSE, the firm’s CEO o