Regulatory Notice 09-62

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010; Payment Deadline: December 11, 2009

Executive Summary

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.