Regulatory Notice 17-01

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

Payment Deadline: January 20, 2017

Executive Summary

FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill 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 20, 2017.

Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.