Regulatory Notice 16-01

Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

Payment Deadline: January 15, 2016

Executive Summary

FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 15, 2016.

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