Regulatory Notice 07-48

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008

Payment Deadline: December 10, 2007
This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to the American Stock Exchange, Chicago Stock Exchange, National Stock Exchange, NYSE Arca, Inc. and Philadelphia Stock Exchange.

The 2008 registration renewal process begins on November 5, 2007 when online Preliminary Renewal Statements are made available to all firms on Web CRD/IARD.

This Notice was changed on 10/15/07 to correct some non-substantive text and to amend the list of regulators that do not participate in the CRD Phase II Program to:

  • American Stock Exchange
  • Chicago Stock Exchange
  • National Stock Exchange
  • NYSE Arca, Inc.
  • Philadelphia Stock Exchange