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2016 Renewals: B-D, IA – Firm, Agent & Branch

November 16, 2015 @ 8:00 am - December 18, 2015 @ 5:00 pm

FINRA advises FINRA-registered firms that failure to remit full payment for annual renewals that is set out of their Preliminary Statements to FINRA by December 18, 2015, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2016. FINRA registered firms will also be subject to a late fee if payment is not received by December 18, 2015.

In addition to this Notice, firms should review the renewal instructions, the IARD Renewal Program Bulletin (if applicable) on the Investment Adviser Registration Depository (IARD) website, and any information mailed to ensure continued eligibility to do business in 2016.



November 16, 2015 @ 8:00 am
December 18, 2015 @ 5:00 pm
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