Regulatory Notice 07-48

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008; Payment Deadline: December 10, 2007

Executive Summary

The 2008 registration renewal process begins on November 5, 2007 when online Preliminary Renewal Statements are made available to all firms on Web CRD/IARD.

 

 

This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to:

  • American Stock Exchange
  • Chicago Stock Exchange
  • National Stock Exchange
  • NYSE Arca, Inc.
  • Philadelphia Stock Exchange