- This event has passed.
FINRA BD & IA Renewals for 2015 Renewal Statement deadline
January 16, 2015
Final Renewal Statements:
On January 2, 2015, Final Renewal Statements and reports became available
for viewing and printing in Web CRD/IARD. These statements reflect the final
status of broker-dealer, registered representative, investment adviser firm,
investment adviser representative, and branch registrations and/or notice
filings as of December 31, 2014. Any adjustments in fees owed because of
registration terminations, approvals, firm IA registrations, reporting status or
notice filings subsequent to the Preliminary Renewal Statement are included
in this final reconciled statement.
If the amount assessed on the Final Renewal Statement is greater than the
amount assessed on the Preliminary Renewal Statement, the additional
renewal fees are due by January 16, 2015. If the amount assessed on the
Final Renewal Statement is less than the amount assessed on the Preliminary
Renewal Statement, FINRA has issued a credit to the firm’s FINRA Flex-Funding Account.