Central Registration Depository (CRD®)

2012 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. Final Renewal Statements and reports for the 2012 FINRA Renewal Program will be available on January 3, 2012. If your firm’s Final Renewal Statement reflects an amount due, full payment must post to your firm's Renewal Account with FINRA by Friday, February 3, 2012.

 

The following links will guide your firm through the 2012 FINRA Renewal Program:

 

 

Other key dates and information about the 2012 Renewal Program:

  • Post-Dated Filings: Firms can submit post-dated Forms U5 and BR Closing/Withdrawal beginning on October 24, 2011, and post-dated Forms BDW and ADV-W beginning on November 1, 2011. The deadline for submitting post-dated forms prior to year end is 6 p.m., Eastern Time (ET), December 23, 2011. All post-dated forms must be dated December 31, 2011.
  • Transition Filing Functionality: All Transition Filing functionality will shutdown at 8 p.m., ET, on November 4, 2011, until 7 a.m., ET, on January 3, 2012.
  • Year-End Schedule: Web CRD and IARD will be unavailable for form filing processing from 6 p.m., ET, December 23 through December 27, 2011, due to the holiday schedule and year-end Renewal processing. During the December 28 through December 30 period, firms may query the system and create “Pending” filings but not submit them until on or after January 3, 2012. Web CRD and IARD will be unavailable January 2, 2012 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: 12/29/2011