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Annual Renewal

Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year. FINRA collects all applicable renewal fees on behalf of itself and participating regulators, which enables firms to submit their total renewal payment to FINRA instead of each regulator.

Your firm must pay all applicable renewal fees assessed on its Preliminary Statement for the firm, branch offices and associated individuals to ensure continued eligibility to do business in the coming year. Renewal statements will only be accessible through E-Bill. Renewal reports will be available through CRD/IARD for reconciliation purposes.

Firms must use their Renewal Accounts to pay their annual renewal fees. Beginning on the renewal payment deadlines, FINRA will transfer funds from a firm’s Flex-Funding Account to its Renewal Account if the firm has sufficient funds to cover their total assessment.

FINRA communicates important dates and information with firms via email throughout the Renewal Program. To ensure your firm receives email messages from FINRA, please use the “Help With Email Subscriptions” instructions on our Follow FINRA page and add the finra.org domain to your email application’s safe-sender list.

To successfully complete the renewal process, firms must perform the following actions:

ASAP

Review the 2021 Renewal Program Calendar

Firms should review the 2021 Renewal Calendar for payment and filing deadlines. It also covers the availability of CRD/IARD during year-end renewal processing.

Individuals can also review their personal industry record in the Financial Professional Gateway (FinPro).

October 30

Read the 2021 Renewal Program – Preliminary Statement Regulatory Notice, which will be available beginning October 30.

Read this Regulatory Notice for detailed information about how to renew for 2021.

November 16

Retrieve Your Firm’s Preliminary Statement

Beginning November 16, 2020, firms can view, print and pay their Preliminary Statements by logging onto E-Bill.

December 14

Pay Your Firm’s Preliminary Statement

Payment Deadline: December 14, 2020. Review the Renewal Program Payment Options for detailed information. FINRA recommends using E-Bill to pay your Preliminary Statement. If you use other means, submit your payment with sufficient time to allow for mail delivery and/or payment processing to post to your Renewal Account by the deadline. FINRA-registered firms that do not have payment posted by the deadline may be assessed a Renewal Late Fee.

December 26

End of Year Filings and Payments Due Before 6 P.M. Eastern Time (ET)

The deadline to submit filings and any late registration renewal payments in 2020 is 6 p.m., ET. Important Note: The on time renewal payment deadline was December 14; however, FINRA will continue to accept late renewal payments until 6 p.m. ET, December 26. After this date and time, any unpaid registration renewal fees will result in jurisdictions automatically terminating registrations for failing to renew and the inability to conduct business in these jurisdictions as of January 1, 2021.

January 2

Retrieve Your Firm’s Final Renewal Statement

Beginning January 2, 2021, firms can review and pay Final Statements by logging onto E-Bill. Firms can also retrieve their renewal reports through CRD/IARD. You should review the statement for accuracy and keep a copy of the renewal reports for your records. Historical statements are available through E-Bill. The 2021 Renewal Program – Final Statement Regulatory Notice provides detailed information.

Individuals can also review their personal industry record in the Financial Professional Gateway (FinPro).

January 22

Reconcile or Pay Your Final Statement

Report in writing to FINRA any discrepancies you find on your Final Statement. FINRA must receive this by January 22, 2021. This is also the deadline date for which FINRA must receive payment if there is a balance due on your firm’s Final Statement.