Regulatory Notice 17-35

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018

Payment Deadline: December 18, 2017

Executive Summary

The 2018 Renewal Program begins on November 13, 2017, 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 23, 2017

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

November 1, 2017

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 10, 2017, do not appear on the firm’s Preliminary Statement. The only allowed date for post-dated filings is December 31, 2017.

November 13, 2017

Preliminary Statements are available in E-Bill.

December 18, 2017

Full payment of Preliminary Statements is due.

January 2, 2018

Final Statements are available in E-Bill.

January 22, 2018

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 18, 2017, may cause the firm to become ineligible to do business in the jurisdictions where it is registered, effective January 1, 2018. FINRA-registered firms will also be subject to a late fee if payment is not received by December 18, 2017.