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 2014 FINRA Renewal Program will be available on November 11, 2013. Full payment of Preliminary Renewal Statements must post to firms' Renewal Accounts with FINRA by December 13, 2013.

 

The following links are related to the 2014 FINRA Renewal Program:

 

 

Other key dates and information regarding the 2014 Renewal Program:

 

  • Electronic Payment via E-Bill: New for the 2014 Renewal Program, E-Bill has replaced the CRD/IARD E-Pay system for firms making electronic (ACH) payments. E-Bill allows entitled users to view and pay FINRA invoices, including their Renewal Statement, as well as fund their FINRA Flex-Funding Account (CRD/IARD Daily Account) and transfer funds to their Renewal Account. To use E-Bill, your firm's Super Account Administrator must assign entitlement to E-Bill for themselves and others at the firm. For detailed information about the enrollment process or how to use this application, please review the E-Bill User's Guide and the SAA Self-Entitlement Guide.

     

  • Post-Dated Filings: Firms can submit post-dated Forms BDW, ADV-W, U5 and BR Closing/Withdrawal beginning November 1, 2013. The deadline for submitting post-dated forms prior to year-end is 6 p.m., Eastern Time (ET), December 26, 2013. All post-dated forms must be dated December 31, 2013.

     

  • Year-End Schedule: Web CRD/IARD will be unavailable for form filing processing from 6 p.m., ET, December 26 through January 1, 2014, due to the holiday schedule and year-end renewal processing. During the December 30 through December 31 period, firms may query the system and create "Pending" filings but not submit them until on or after January 2, 2014. Web CRD/IARD will be unavailable December 25, 2013 and January 1, 2014 due to the holiday schedule.
Last Updated: 10/23/2013