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 … Continue reading FINRA Renewal Program – Final Statement Available
Web CRD and IARD are unavailable due to 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 Final Statement and renewals processing.
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).
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. … Continue reading Preliminary Statement Payment Deadline
PRELIMINARY Statements are available through E-Bill.
Firms may begin to submit post-dated Forms BDW and ADV-W, 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 Form U5 and BR Closing/Withdrawals, which must be dated 12/31/18.
Full payment of Final Statements is due.
Final Statements for 2018 Renewal Program 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 … 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 … Continue reading 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 … Continue reading FINRA 2018 Renewal Program – Preliminary Statement Filings
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 … Continue reading FINRA 2018 Renewal Program
FINRA Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
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 … Continue reading Final Renewal Statement Availability January 02, 2018
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 … Continue reading FINRA Final Renewal Statement Due
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 … Continue reading FINRA Final Renewal Statements Available
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.
FINRA Renewals FINRA has posted the online Preliminary Renewal Statements on Web CRD and Web IARD, which commenced the 2016 renewal season for broker-dealers and investment advisers. The FINRA Renewal … Continue reading Registration Update: 2016 Broker-Dealer & Investment Adviser Renewal