Regulatory Notice 09-62
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
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.