FINRA-registered firms should ensure payment is received and posted to your account by this day. Money can be deposited directly into your firm’s Renewal Account, or firms may rely on FINRA to transfer the money from your firm's Flex-Funding Account that begins Dec. 12. In order to take advantage of this transfer, the complete amount due for renewals must be available in your firm’s Flex-Funding Account. See the Renewal Payment Options page for more information.

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. 30, 2022, 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 Nov. 30, 2022, through Jan. 2, 2023.

Preliminary Statements are available in E-Bill beginning Nov. 7. Many firms find it convenient to 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. 17, 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.