Central Registration Depository (CRD®)

FINRA Renewal Program

The FINRA Renewal Program facilitates the annual renewal of broker-dealer firms' and their registered representatives' FINRA, state/jurisdiction and self-regulatory organization (SRO) registrations. Preliminary Renewal Statements and reports for the 2013 FINRA Renewal Program will be available on November 12, 2012. Full payment of Preliminary Renewal Statements must post to firms’ Renewal Accounts with FINRA by Thursday, December 13, 2012.

 

The following links are related to the 2013 FINRA Renewal Program:

 

 

Other key dates and information about the 2013 Renewal Program:

 

  • Renewal Check Payment Address: FINRA has streamlined the process for firms to deposit checks into their Web CRD/IARD accounts. FINRA has eliminated the separate renewal payment address and firms should send checks for funding Web CRD/IARD to the addresses used for Daily Accounts. For firms that pay their renewal fees with a mailed check, FINRA will transfer funds from a firm's Daily Account to its Renewal Account on the payment deadline—provided the firm has sufficient funds in its Daily Account to cover the total renewal fees due. Firms that prefer to submit funds directly into their Renewal Accounts should do so through electronic payments. For complete information, please review the Renewal Program Payment Options Web page.
     
  • Post-Dated Filings: Firms can submit post-dated Forms U5, BR Closing/Withdrawal, BDW and ADV-W beginning on November 1, 2012. The deadline for submitting post-dated forms prior to year end is 6 p.m., Eastern Time (ET), December 21, 2012. All post-dated forms must be dated December 31, 2012.
     
  • Transition Filing Functionality: All Transition Filing functionality will shutdown at 11 p.m., ET, on November 9, 2012, until 7 a.m., ET, on January 2, 2013.
     
  • Year-End Schedule: Web CRD/IARD will be unavailable for form filing processing from 6 p.m., ET, December 21 through December 31, 2012, due to the holiday schedule and year-end renewal processing. During the December 24 through December 31 period, firms may query the system and create “Pending” filings but not submit them until on or after January 2, 2013. Web CRD/IARD will be unavailable December 25, 2012 and January 1, 2013 due to the holiday schedule.

 

For questions regarding the 2012 Renewal Program, call the FINRA Gateway Call Center at (301) 869-6699 or email FINRA.

 

Last Updated: 11/15/2012