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March 2016

2016 Web CRD/IARD Training

March 7, 2016 - March 9, 2016

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.

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April 2016

Personnel Assessment and Gross Income Assessment

April 1, 2016

The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 – 5 registered representatives and principals are assessed $75 each; 6-25 registered persons $70 each and over 26 $65 each. http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p120008.pdf

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June 2016

Firm Gateway Information Requests System Enhancement

June 24, 2016

On June 24, FINRA enhances the Request Manager system, part of the Information Requests tab in Firm Gateway, with a new file upload process. The new file uploader is optimized for Internet Explorer (IE) 10 and up, Chrome, Firefox and Safari. Users with older browsers will still be able to upload files to FINRA but will experience longer upload times. FINRA strongly recommends that users avoid using older browsers, such as IE7, IE8 and IE9 for performance and security reasons. Additional…

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November 2016

Effective Date – FINRA Rule 2273

November 11, 2016

FINRA Rule 2273  (Educational Communication Related to Recruitment Practices and Account Transfers) becomes effective November 11, 2016.  The rule establishes an obligation to deliver an educational communication in connection with firm recruitment practices and account transfers.  For more information, see  Regulatory Notice 16-18.

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January 2017

FINRA Final Renewal Statements Available

January 3, 2017

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 should review the statement for accuracy and keep a copy of the final statement and renewal reports for your records. The 2017 Renewal Program - Final Statement Regulatory Notice provides detailed information.

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Texas Certificates of Registration Available

January 8, 2017 @ 8:00 am - 5:00 pm

State Securities Board personnel review all applications for the registration of dealers, agents, investment advisers, and investment adviser representatives to ensure that individuals and firms dealing with Texas investors meet certain minimum qualifications, are financially solvent, and of good business repute. Each initial Dealer and Investment Adviser applicant undergoes a stringent review process that includes a review of their firm's application along with a review of the firm's formation documents, audited or certified balance sheet, and, if applicable, their client/advisory…

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FINRA Entitlement User Account Certification Process

January 9, 2017

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 user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have the appropriate entitlement privileges to perform their job responsibilities or modify or remove access, as necessary. Super Account Administrator (SAA) Forms New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA)…

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FINRA Final Renewal Statement Due

January 20, 2017

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 the deadline date for which FINRA must receive payment if there is a balance due on your firm’s Final Renewal Statement.

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FINRA Contact System Due Date

January 26, 2017

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. Please login to FCS and perform your annual review. This year's deadline is Thursday, January 26, 2017. If you have questions on how to complete your FINRA annual FCS verification, please review the FCS guides or call the FINRA Gateway Call Center at (301) 869-6699. New Role Added to FCS…

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MSRB Update of Primary Contact Information (MSRB G-40)

January 26, 2017

MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 business days after the end of each calendar year. In addition to this annual requirement, MSRB Rule G-40 requires municipal securities dealers and municipal advisors to promptly update their primary contact information no later than 30 days following any changes to this information. http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-40.aspx

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February 2017

Due: FINRA’s Annual Entitlement Account Certification Process

February 9, 2017

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 user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have the appropriate entitlement privileges to perform their job responsibilities or modify or remove access, as necessary. Super Account Administrator (SAA) Forms New Organization Super Account Administrator (SAA) & FINRA Entitlement Agreement (FEA)…

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April 2017

Personnel Assessment and Gross Income Assessment

April 1, 2017

The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 – 5 registered representatives and principals are assessed $75 each; 6-25 registered persons $70 each and over 26 $65 each. http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p120008.pdf

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May 2017

FINRA Updates Private Placement Filer Form

May 22, 2017

In an attempt to collect more information on private placement activity, the Financial Industry Regulatory Authority (“FINRA”) has updated the private placement filer form that member firms must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (the "Filer Form").  The updated Filer Form will be required to be utilized on the FINRA Firm Gateway beginning on May 22, 2017. The Filer Form has…

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June 2017

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

June 19, 2017

FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps of this initiative, this Notice solicits comment from all interested parties on FINRA’s current engagement programs. In connection with separate reviews being conducted under this initiative, FINRA will seek input where appropriate on other aspects of its operations. FINRA’s status as a self-regulatory organization (SRO) requires that, in pursuing its…

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July 2017

Entitlement Password Requirements

July 29, 2017

FINRA has updated its password requirements for users of systems that participate in FINRA's Entitlement Program. No immediate action is required at this time by users as existing passwords will remain valid; however, any password changed or created on or after July 29, 2017, must adhere to the updated password requirements.

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October 2017

Information Update for Advisers Filing Form ADV Amendments

October 1, 2017

  Recently, the Securities and Exchange Commission (SEC) staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or after October 1, 2017, but before its next annual amendment to the form would be due, such as when a filer is required to obtain a new private fund identification number or update a Form ADV Part 2A brochure on the Investment Adviser Registration Depository ("IARD") system. Some Form ADV…

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Renewal Dates for FINRA 2018 Preliminary Statement Begin

October 23, 2017

FINRA Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.

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November 2017

FINRA 2018 Renewal Program

November 1, 2017

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017.

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FINRA 2018 Renewal Program – Preliminary Statement Filings

November 10, 2017

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017.

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FINRA 2018 Preliminary Statements Available

November 13, 2017

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD. Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017. Preliminary Statements are available in E-Bill.  

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December 2017

Full payment of FINRA Preliminary Statement Due

December 18, 2017

FINRA must receive full payment of the Preliminary Statement fees by December 18, 2017. If payment is not received by December 18, 2017, FINRA-registered firms will be assessed a Renewal Late Fee. FINRA includes this late fee as part of the Final Statement and calculates the fee as follows: 10 percent of a firm’s cumulative final renewal assessment or $100, whichever is greater, with a cap of $5,000. Please see Notice to Members (NTM) 02-48 for details. In addition, if…

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January 2018

Final Renewal Statement Availability January 02, 2018

January 2, 2018

Final Renewal Statements will be available online in Web CRD/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.

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Final 2018 Renewal Statements Available

January 2, 2018

Final Statements for 2018 Renewal Program are available in E-Bill.

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FINRA 2018 Final Renewal Statement Due

January 22, 2018

Full payment of Final Statements is due.

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MSRB Update of Primary Contact Information (MSRB G-40)

January 26, 2018

MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 business days after the end of each calendar year. In addition to this annual requirement, MSRB Rule G-40 requires municipal securities dealers and municipal advisors to promptly update their primary contact information no later than 30 days following any changes to this information. http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-40.aspx

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April 2018

Personnel Assessment and Gross Income Assessment

April 2, 2018

The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 – 5 registered representatives and principals are assessed $75 each; 6-25 registered persons $70 each and over 26 $65 each. http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p120008.pdf  

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October 2018

FINRA Renewal Program – U5 & BR Closing Submissions

October 22, 2018

Firms may begin to submit post-dated Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.

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FINRA Renewal Program – Post Dated Submissions

October 22, 2018

Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal, which must be dated 12/31/2018.

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November 2018

FINRA Post-Dated Submissions

November 1, 2018

Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18.

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FINRA Renewal Program – CRD & IARD Unavailable

November 10, 2018 - November 11, 2018

Web CRD and IARD are unavailable Nov. 10 as Preliminary Statements are generating.

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FINRA Preliminary Statements Available

November 12, 2018

  PRELIMINARY Statements are available through E-Bill.

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December 2018

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,…

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Preliminary Statement Payment Deadline

December 17, 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 27.  

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FINRA Renewal Program – Form Filing Deadline

December 27, 2018

LAST DAY to submit form filings prior to year-end.Web CRD and IARD are available from 5 a.m. until 6 p.m., Eastern Time (ET).  

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FINRA 2019 Renewal Program – CRD & IARD Unavailable

December 28, 2018

Web CRD and IARD are unavailable due to Final Statement and renewals processing.  

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FINRA Renewal Program – CRD & IARD Limited Availability

December 29, 2018 - December 31, 2018

Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.  

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January 2019

FINRA Renewal Program – CRD & IARD Unavailable

January 1, 2019

Web CRD and IARD are unavailable due to renewals processing.  

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FINRA Renewal Program – Final Statement Available

January 2, 2019

Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund requests should be made from this account through E-Bill. • Final Statements are available for viewing and printing through E-Bill.

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Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD

January 2, 2019

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.

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FINRA Renewal Program – Final Statement Payment Deadline

January 21, 2019

DEADLINE for receipt of Final 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 until any outstanding renewal assessment is satisfied.  

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October 2019

Annual Firm Renewals – Submission of Post-Dated U5 and BR Termination Forms on CRD and or IARD

October 21, 2019

Beginning 11/1/2019 Firms may begin to submit post-dated Forms U5 and BR Closing / Withrawal, which must be dated December 31, 2019.

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November 2019

Annual Firm Renewals – Submission of Post-Dated BDW and ADV-W Forms on CRD and or IARD

November 1, 2019

Beginning 11/1/2019 Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated December 31, 2019.

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Annual Firm Renewals – Preliminary Renewal Statements available on Web CRD/IARD

November 11, 2019

Beginning November 11, 2018, Preliminary Renewal Statements are available for viewing and printing through E-Bill on the CRD of IARD.

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December 2019

Annual Firm Renewals – Deadline to Submit Form Filings on Web CRD or IARD

December 26, 2019

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

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January 2020

Annual Firm Renewals – Deadline for Payment Final Renewal Statement Payments

January 21, 2020

Deadline for the payment of Final Statements. Firms with sufficient monies in their FlexFunding 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.

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