FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Statements to FINRA by December 18, 2015, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2016. FINRAregistered firms will also be subject to a late fee if payment is not received by December 18, 2015.
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 - … Continue reading FINRA Final Renewal Statements Available
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.
FINRA Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
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.
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.
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.
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 … Continue reading Full payment of FINRA Preliminary Statement Due
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.
Final Statements for 2018 Renewal Program are available in E-Bill.
Full payment of Final Statements is due.
Firms may begin to submit post-dated Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.
Firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal, which must be dated 12/31/2018.
Firms may begin to submit post-dated Forms BDW and ADV-W, which must be dated 12/31/18.
PRELIMINARY Statements are available through E-Bill.
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.
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).
Web CRD and IARD are unavailable due to Final Statement and renewals processing.
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
Web CRD and IARD are unavailable due to renewals processing.
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.