Loading Events

« All Events

  • This event has passed.

Illinois Renewal for Dealers

November 1, 2013

Please be advised that if the broker-dealer is registered in the State of Illinois, you will receive (or have received) a 2 page letter from Illinois requesting verification that the Designated Principal on their records is accurate.

One page of the document will be the Designation of Principal form, which is required to be edited if necessary, signed and sent to the state. You may fax or email the completed document to the state. Both the fax number and email address are listed on the bottom of the page.

One page of the document is just the information regarding how the State of Illinois receives their payment (through CRD).  As a reminder, the renewal fees for Illinois are $600 for the firm and $150 per agent registered in Illinois.

Renewal invoices will be available on CRD on November 11, 2013 and payments will be due to FINRA on December 13, 2013. You will be given the option to pay the renewal invoices through the E-Bill system on CRD this year (e-check or credit card), but you must have access to the new category under the  User Administrator section in CRD.


November 1, 2013
Copyright© 2024 The LeGaye Law Firm P.C.