This Regulatory Compliance Calendar for is being furnished for information purposes only. This
Calendar covers certain regulatory obligations of a typical U.S. Securities and Exchange Commission
registrant (i.e., broker-dealer, registered investment adviser, Exempt Reporting Adviser), as well
as members of the National Futures Association and the Financial Industry Regulatory Authority, Inc.
This Calendar is not intended to provide legal advice, and no legal or business decisions should be
based on its content. Please note that the information contained herein is current as of the
initial, date published and is subject to change.