Annual Verification Due As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. … Continue reading FINRA Contact System Due Date
FINRA’s Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one … Continue reading Due: FINRA’s Annual Entitlement Account Certification Process
FINRA’s Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one … Continue reading FINRA Entitlement User Account Certification Process
Reconcile or Pay your Final Statement Report in writing to FINRA any discrepancies you find on your Final Statement. FINRA must receive this by January 20, 2017. This is also … Continue reading FINRA Final Renewal Statement Due
Retrieve your Firm’s Final Renewal Statement Beginning January 3, 2017, firms can review Final Statements by logging onto E-Bill. Firms can also retrieve their renewal reports through Web CRD/IARD. You … Continue reading FINRA Final Renewal Statements Available
The accounting details on your firm’s Flex-Funding and Renewals accounts, which were previously only available in Web CRD, are now available in E-Bill along with enhanced capabilities for accessing that … Continue reading CRD Accounting Pages to be retired
The 2016 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.
The Securities and Exchange Commission has approved a change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) which will reduce the waiting period from 15 days to three business days for … Continue reading SEC Reduces Form U5 Wait Period to 3 Days on BrokerCheck
In April 2014, the Financial Industry Regulatory Authority (“FINRA“) rolled out the CRD Public Records Validation Initiative to conduct a review of public records available for the entire population of … Continue reading CRD Public Records Validation Initiative Evolving to Ongoing Validation
Automatic transfers: Firms with sufficient monies in their Flex-Funding Accounts will have funds transferred to their Renewal Accounts to cover total renewal fees owed. Transfers will b e conducted every … Continue reading Automatic Transfers
Deadline for Final Renewal Statement payments.
Web CRD and IARD are unavailable due to the holiday schedule and year-end processing.
FINRA Member Firms may begin to submit post-dated Forms BDW & ADV-W on FINRA CRD
In April 2014, FINRA announced it would conduct a review of public records available for the entire population of approximately 630,000 active registered representatives (RRs) for financial disclosures that may … Continue reading CRD Public Records Validation Initiative