Regulatory Notice 16-42

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017

Payment Deadline: December 16, 2016

Executive Summary

The 2017 Renewal Program begins on November 14, 2016, when FINRA makes the online Preliminary Statements available to all firms in E-Bill.

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

October 24, 2016

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

November 1, 2016

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

Please Note: Registrations terminated by post-dated filings submitted by 11 p.m., Eastern Time (ET), November 11, 2016, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2016.

November 14, 2016

Preliminary Statements are available in E-Bill.

December 16, 2016

Full payment of Preliminary Statements is due.

January 3, 2017

Final Statements are available in E-Bill.

January 20, 2017

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 16, 2016, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2017. FINRA-registered firms will also be subject to a late fee if payment is not received by December 16, 2016.

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 2017.

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