SIE Date/Time Lines

Form 10K

Filed Annually (With SEC)

-90 Days of fiscal year end

Form 10Q

Filed Quarterly, 40-45 days after quarter end

Regular Way Settlement

T+1 (One Biz Day after trade date)

Ex-dividend Date (Reg. Way)

Same as Record Date

Cash Settlement

Same-day payment and settlement

Ex-dividend date (Cash)

Business day after record date

Bonds

SEMI ANNUAL Interest

-Exceptions T-bills, zero coupon bonds)

Zero-Coupon Bonds

Maturities of 10+ Years

Accrued Interest (Corp/Muni/Agency)

360-day year, 30 day months

Accrued Interest (T bonds, T Notes)

365 day year, actual day months

-Govt more precise

Commercial Paper Max Maturity

270 Days

Bankers Acceptance (Max Maturity)

180 days

Open-end Fund Next NAV

Calculated Daily after 4 pm

Mutual Fund Prospectus (Delivery Date)

No later than transaction confirmation

Letter of Intent (How long is it valid)

Valid for 13 months, backdated 90 days

Options Settlement

Next business day (T + 1)

Options Expiration (when)

Third Friday of the Expiration Month

Standard Options (Expiration Duration)

9 Months

LEAP Options (Expiration Duration)

>9 months

Cooling-Off period (Duration)

20 Days

IPO Final Prospectus (Delivery Date)

To all buyers on an exchange for first 25 days

Shelf Registration (How long is it valid)

Up to 3 years

Rule 147 Restricted Stock (How long is it restricted)

Must be held for 6 months before out-of-state sale

Options Agreement (when must it be returned)

Return within 15 days post-approval

Customer Info Verification/changes (when is it needed for opening an account)

Send request within 30 days after account opening/updating

Customer records update (how regularly)

Every 36 months (3 years)

Reg T Settlement (when is payment made)

Within 2 buisness days of settlement

(S+2)

OR

(T+1) + 2

Privacy Opt out (when for new accounts)

Within 30 days

Temporary Account Hold (Duration for vulnerable individuals)

Up to 15 business days, extendable to 55

Customer Account Statements (How often are they sent)

Sent Quarterly; Monthly if ACTIVE or contains penny stocks/options

Mail Holds (Duration)

Max 3 months unless justified

ROTH Distribution (Dates details)

Tax-free if taken at least 5 years after first deferral

-Starts after 59 1/2 years old

RMD (Traditional IRAs)- when do they start

Regular Monthly Distributions

-Starts April 1 after turning 73, then annually

RMD (Roth IRAs)

No RMD (until death)

Statutory Disqualification (How)

Felony/securities misdemeanor conviction in last 10 years

Form U4 (when filed)

Filed promptly after hire, prior to RR engaging in securities buisness

U4 Updates (when filed, and why)

Filed within 30 days

-change in address, a lien, an OBA, a compliant

Statutory DQ disclosed and updated within 10 days

Form U5 (when filed)

Filed by firm within 30 days of termination; Terminated rep. must maintain updated address for 2 years

Regulatory Element (when must be completed by)

Annually by Dec 31st

Firm Element (when must be completed by)

Annually (or more by firm)

BCP Testing (how often must be completed)

Business Continuity Preparedness Testing

MUST be completed annually

CIP Verification (when does it need to be completed)

Customer Identification Program (required by USA Patriot Act)

-Annually

CTR filing (when must be completed)

Cash >10,000 within 15 calendar days

SAR filing (when)

Within 30 days

AML Training (how often)

Conducted at least Annually

How often are REIT dividends payed

Quarterly

How often are preferred stock dividends payed

Quarterly

When can T NOTES and T BONDS trade on Money Market

When they have 1 year or less until maturity