2019 FINRA Renewal Program for BDs and RIAs

The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, Investment Adviser Agents, Investment Adviser Representatives, and Branches is scheduled to begin on November 12, 2018.

Firms should note the following key dates in the renewal process:

  • November 12, 2018 – Preliminary statements are available via the E-Bill section of WebCRD. Preliminary statements are not mailed to firms.
  • December 17, 2018 – Full payment of Preliminary Statements is due.
  • January 2, 2019 – Final Statements are available via the E-Bill section of WebCRD.
  • January 21, 2019 – Full Payment of Final Statements is due.

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FINRA’S COMPLIANCE CALENDAR – January 2018

IT’S ALMOST 2018!!!! As we approach the New Year, firms should make sure that they start off on a good note.  Below are the regulatory filings, request for comments, and certification due dates for the month of January. FINRA does not list any conferences or events for the month. JANUARY 2018 January 2nd Annual Audit[…]

FINRA’S COMPLIANCE CALENDAR- NOVEMBER 2017

As November approaches, let’s take a look at the upcoming deadlines and educational opportunities that are on FINRA’s compliance calendar for the month.   Please note that the calendar does not include all regulatory and filing responsibilities for firms.  Therefore, you should check other resources to ensure that your firm does not miss any important deadlines. Read More…