Regulatory Notice 13-37

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014

Payment Deadline: December 13, 2013

The 2014 Renewal Program begins on November 11, 2013, when FINRA makes the online Preliminary Renewal Statements available to all firms on Web CRD/IARD.

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

Date Activity
November 1, 2013

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

Please Note: Post-dated filings submitted by 11 p.m., Eastern Time (ET), November 8, 2013, do not appear on the firm’s Preliminary Renewal Statement. The only allowed date for post-dated termination filings is December 31, 2013.

November 11, 2013 Preliminary Renewal Statements are available on Web CRD/IARD.
December 13, 2013 Full payment of Preliminary Renewal Statements is due.
January 2, 2014 Final Renewal Statements are available on Web CRD/ IARD.
January 10, 2014 Full payment of Final Renewal Statements is due.

FINRA advises FINRA-registered firms that failure to remit full payment of their Preliminary Renewal Statements to FINRA by December 13, 2013, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2014. FINRA-registered firms will also be subject to a late fee if payment is not received by this deadline.

In addition to this Notice, firms should review the renewal instructions, especially the Renewal Program Bulletin, 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 as of January 1, 2014.

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