Regulatory Notice 20-39
Summary
The 2021 Renewal Program begins on November 16, 2020, 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 19, 2020 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via CRD/IARD.
SR-FINRA-2020-039
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA rules to reflect name changes to two FINRA departments: the Office of Dispute Resolution and the Department of Registration and Disclosure.
19-02627.pdf
Consolidated with 19-03033