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Annual Firm Renewals -Deadline on Payments for Preliminary Renewal Statements

December 16, 2018

Deadline for receipt of Preliminary Statement payments. Firms with sufficient monies in their Flex-Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day going forward until Web CRD/IARD shuts down for year-end processing December 26.  Failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 16,  may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2019. FINRA-registered firms will also be subject to a late fee if payment is not received by this deadline.

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