Registration & Licensing

Beginning 10/12/2026 Firms may begin submitting post-dated Forms U5 and BR Closing / Withdrawal, which must be dated December 31, 2026.

Beginning 11/2/2026 Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated December 31, 2026.

Beginning November 9, 2026, Preliminary Renewal Statements are available for viewing and printing through E-Bill on the CRD of IARD.

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 27. Failure to remit full payment of their … Continue reading Annual Firm Renewals – Deadline on Payments for Preliminary Renewal Statements →

Final form filings must be submitted by 6 PM EST via Web CRD or IARD, and electronic funds transfers must be submitted by 3PM.

Final Renewal Statements will be available online on either Web CRD or IARD. If you have a renewal overpayment. It will be automatically transferred to your daily account in conjunction with year-end renewal processing. Refund requests are made from this account.

Deadline for the payment of Final Statements. 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 until any outstanding renewal assessment is satisfied.