Regulatory Notice 09-01

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: February 4, 2009

Executive Summary

FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2009 registration renewal process.

 

Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.