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 →

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.