A mass transfer is used to systematically transfer individuals and branch offices from one firm to another firm as a result of a merger, acquisition, succession or consolidation. Nov. 27, 2023, is the last day firms will be able to request that a mass transfer occur this year. There will be a moratorium on mass transfer processing from Dec. 18, 2023, through Jan. 2, 2024.

Preliminary Statements are available in E-Bill beginning Nov. 6. Many firms find it convenient to submit or schedule their payment while logged in to E-Bill to retrieve the statement. Preliminary Statement reports are also available in CRD and IARD. Be sure to save or print reports before Final Statements are generated.

Starting Nov. 1, firms can initiate Forms BDW and ADV-W filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.

Starting Oct. 16, firms can submit Forms U5 and BR Termination filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.

Rule Filing Status:  Approved

Rule change to amend the Codes of Arbitration Procedure to modify the current process relating to the expungement of customer dispute information.