FINRA Renewal Program – CRD & IARD Limited Availability
Web CRD and IARD are available for QUERY-only and the creation of “Pending” filings.
Tag Archives: preliminary statement
FINRA 2019 Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable due to Final Statement and renewals processing.
FINRA Renewal Program – Form Filing Deadline
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).
Preliminary Statement Payment Deadline
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.
FINRA Preliminary Statements Available
PRELIMINARY Statements are available through E-Bill.
FINRA Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable Nov. 10 as Preliminary Statements are generating.
Full payment of FINRA Preliminary Statement Due
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
FINRA 2018 Preliminary Statements Available
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.