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.

      Previous post Next post

      More like this

      The SEC’s Division of Examinations Published Observations From Their Series of Examinations

      November 11th | 2021 This week, the SEC’s Division of Examinations (the “Division”) published observations from their series of examinations…
      Read more

      The SEC Has Approved the Public Company Accounting Oversight Board’s Rule 6100

      November 9th | 2021 Last week, the SEC announced that it has approved the Public Company Accounting Oversight Board’s (PCAOB)…
      Read more

      Examination of Advisers’ Practices for Principal and Cross Trades Involving Fixed Income Securities

      July 26th | 2021 The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) conducted extensive examination…
      Read more

      Recent Observations About Common Deficient and Industry Practices Related to Wrap Fee Programs

      July 26th | 2021The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) published observations regarding common…
      Read more

      CFTC Staff Issues Advisory to Swap Dealers

      June 24th | 2021 The CFTC recently issued an advisory to swap dealers clarifying the use of internal models in…
      Read more

      Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act

      June 22nd | 2021 The SEC recently approved an order that adjusts for inflation the dollar amount thresholds of the…
      Read more