Regulatory Notice 18-37

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019

Payment Deadline: December 17, 2018

Summary

The 2019 Renewal Program begins on November 12, 2018, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.

Firms should note the following key dates in the renewal process:

October 22, 2018

Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.

November 1, 2018

Firms may begin submitting post-dated Form BDW and ADV-W filings via Web CRD/IARD.

Please Note: Registrations terminated by postdated filings submitted by 11 p.m., Eastern Time (ET), November 9, 2018, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2018.

November 12, 2018

Preliminary Statements are available in E-Bill.

December 17, 2018

Full payment of Preliminary Statements is due.

January 2, 2019

Final Statements are available in E-Bill.

January 21, 2019

Full payment of Final Statements is due.

FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Statements to FINRA by December 17, 2018, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2019. FINRA-registered firms will also be subject to a late fee if payment is not received by December 17, 2018.

In addition to this Notice, firms should review the renewal instructions, the IARD Renewal Program Bulletin (if applicable) on the Investment Adviser Registration Depository (IARD) website, and any information mailed to ensure continued eligibility to do business in 2019.

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