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What's Hot! IA Watch 2012 Compliance Calendar

12b-1	Gifts and Entertainment
529 Plans	Glass-Steagall Act
Actively Managed	Governance: SRO
Acts	Government Securities Clearing Corporation (GSCC)
Advertising/Marketing	Gramm-Leach-Bliley Act
Advertising/Sales	Hedge Funds
Advertising: Exam Focus	Hedge Funds: Ad Sales
Advisory Agreements	Hedge Funds: Compensation
Advisory Fees	Hedge Funds: Exams/Enforcement
Advisory: Agreements	Hedge Funds: Regulation
Agreements	Hedge Funds: Valuation
American Bar Association (ABA)	IA Registration: Eligibility
American Stock Exchange (Amex)	IA Registration:Exemptions
Annual Review	IARD
Annuities	Insider Trading
Anti-Money Laundering	International Securities Exchange (ISE)
Anti-Money Laundering: Exam Focus	Internet Solicitations
Associations/Trade Groups	Investment Adviser Association
Background Checks	Investment Company Institute (ICI)
Best Execution	Investment Counsel Association of America (ICAA)
Books and Records	IPOs
Boston Stock Exchange (BSE)	Licensing
Branch Office	Madoff
Brokerage	Margin Requirements
Broker-Dealers	Market Structure
Business Continuity Planning	Market timing/Late trading
CFA Institute	Marketing Fees
Chicago Board Options Exchange (CBOE)	Money Market Funds
Chicago Stock Exchange (CHX)	Money Market Funds: Regulation
Clearance and Settlement/T+1	Money Market Funds: Retirement Accounts
Client Communications	Municipal Securities
Closed End Funds: Exams/Enforcement	Municipal Securities Rulemaking Board (MSRB)
Closed End Funds: Fees	Mutual Fund Fees
Closed End Funds: Regulation	Mutual Funds
Closed-end	Mutual Funds: Advertising
Code of Ethics	Mutual Funds: Affiliated Transactions
Commodity Futures Trading Commission (CFTC)	Mutual Funds: Breakpoints
Compliance Best Practices	Mutual Funds: Disclosure
Compliance Budget	Mutual Funds: Exams/Enforcement
Compliance Policies & Procedures	Mutual Funds: Fees
Congressional Activity	Mutual Funds: Governance
Congressional Activity: Feedback	Mutual Funds: Regulation
Congressional Activity: Financial Regulatory Reform	Mutual Funds: Sales
Congressional Activity: GAO	Mutual Funds: Valuation
Congressional Activity: Legislation	NASAA
Congressional Activity: Nominations	NASDAQ
Congressional Activity: Social Security Reform	National Securities Clearing Corporation (NSCC)
Congressional Activity: Testimony	National Securities Markets Improvement Act (NSMIA)
Continuing Education	National Society of Compliance Professionals (NSCP)
Cross-Trades	National Stock Exchange
Custody	New York Stock Exchange (NYSE)
Customer Identification Programs	No-Action letters
Decimalization	North American Securities Administrators Association (NASAA)
Department of Labor	NYSE
Depository Trust Company (DTC)	Office of Foreign Assets Control, Dept. of Treasury (OFAC)
Directed Brokerage	Options
Disclosure Fees	Options Clearing Corporation (OCC)
Dual Registrants	Pacific Exchange (PCX)
Email	Pay-to-Play
Employee Retirement Income Security Act (ERISA)	Performance
Enforcement	Performance Based Fees
Errors	Personal Trading
Examinations Enforcement: Arbitration	Philadelphia Stock Exchange (Phlx)
Examinations Enforcement: Disciplinary Hearings	Principal Trades
Examinations Enforcement: Fraud	Privacy
Examinations Enforcement: Liability	Privacy Disclosures
Examinations Enforcement: SEC Actions	Private Equity Funds
Examinations Enforcement: SEC Policy	Private Equity Funds: Registration
Examinations Enforcement: Settlement	Proxy Voting
Examinations Enforcement: SRO Actions	Reg S-AM
Examinations Enforcement: States	Regulation
Examinations: Best Practices	Regulators
Examinations: Competency Exams	Regulatory
Examinations: Deficiency Letters	Repurchase
Examinations: Document Request Letters	Research
Examinations: Hedge Funds	Risk Disclosure
Exchange Traded Funds: Proxy Statements	Risk Management
Exchange Traded Funds: Regulation	Rulemaking
Exchanges	Rules
Exchange-Traded (ETFs)	Sales Practices
Exempt Reporting Entities	Sarbanes - Oxley Act
Expenses	SEC Examinations
Failure to supervise	SEC Operations
Federal Reserve Board	SEC: Regulators
Federal Trade Commission	SEC: Rulemaking
Fee-based brokerage	Securities Industry Association (SIA)
Fees	Self-Regulatory Organizations
Fees: Regulators	Short Sale Rule
Financial Accounting Standards Board (FASB)	Social Media
Financial Crimes Enforcement Network (FinCEN) Treasury Department	Soft Dollars
Financial Planning Association (FPA)	State Registration
Financial Services Authority (FSA)	Suitability
FINRA: Registration	Supervision
FINRA: Regulators	Suspicious Activity Reports (SARs)
FINRA: Rulemaking	Sweeps
Firm Element	Systems
Form 13D/F/G	Testimonials
Form ADV	Trade Allocation
Form ADV Part 1 Examples	Trade Reporting
Form ADV Part 2 Examples	Trading
Form N-1A	Trading Activity Fees
Form N-4/N-6	Trading Hours
Form PF	Training
Form U-4/U-5	Transaction Fees
Form-ADV Part 2b Supplement Examples	Trends
Forms	Uniform Securities Act
Fund of Funds	Valuation
Fund of Funds: Regulation	Whistleblower Program
Funds	Wrap Fee
Futures