November 2, 2015
In order for firms to maintain active registrations and/or notice filing status with jurisdictions and/or states, they must pay applicable renewal fees annually. The FINRA renewal program facilitates the registration renewal process for investment advisers, broker-dealers and their agents with participating regulators, and simplifies the process by providing for the payment of one amount to FINRA (which administers the IARD and Web CRD systems). Failure to pay renewal fees in time may result in deregistration of a firm and/or its representatives, and termination of applicable notice filings.
Key Dates and Events
FINRA has recently published guidance with respect to the 2016 Renewal Program. Summarized below are certain key dates and events.
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