Preliminary Statements for FINRA BD and IA Renewal Feeds are Available for Viewing

November 9th | 2021

As of yesterday, November 8th, Preliminary Statements for FINRA BD and IA renewal feeds are available for viewing. These will include any registrations maintained through the Central Registration Depository and the Investment Adviser Registration Depository programs. These payments must be made by December 13th, 2021 to avoid late fees and by 6 P.M. EST December 26th, 2021 to avoid risk of becoming ineligible to do business where their registration is not renewed. FINRA also recommends confirming what renewal fees are required from the firm’s jurisdiction.

Final Statement reports will be made available on January 2nd, 2022 and any payment required will be due by January 28th, 2022. These will be published the day after FINRA’s renewal processing fee increases from $20 to $75. This will affect the 2022 renewal fees for branches registered with FINRA. Find more information about Renewals for 2022 here.