Regulatory Notice 09-62
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010; Payment Deadline: December 11, 2009
The 2010 renewal process begins on November 16, 2009, when online Preliminary Renewal Statements are made available to all firms on Web CRD/IARD.
Firms should note the following key dates in the 2010 renewal process:
November 4, 2009
Firms may start submitting post-dated Form U5, BDW, ADV-W and BR Closing/Withdrawal filings via Web CRD/IARD.
Please Note: Post-dated filings submitted by 11 p.m. Eastern Time (ET) November 13, 2009, will not appear on the firm's Preliminary Renewal Statement. The only date that can be used for a post-dated termination filing is December 31, 2009.
November 16, 2009
Preliminary Renewal Statements are available on Web CRD/IARD.
December 11, 2009
Full payment of Preliminary Renewal Statements is due.
January 4, 2010
Final Renewal Statements are available on Web CRD/IARD.
February 5, 2010
Full payment of Final Renewal Statements is due.
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