FINRA Notice 13-37: Broker-Dealer and Investment Adviser 2014 Renewals

FINRA released a regulatory notice regarding the 2014 Renewal Program for broker-dealers, investment adviser firms, agent and investment adviser representatives, and branch renewals.The 2014 Renewal Program begins on November 11, 2013, when FINRA makes the online Preliminary Renewal Statements available to all firms on Web CRD/IARD. The statements include the fees for Web CRD system processing, FINRA branch office and branch processing, state broker-dealer firm, branch, and agent renewal, and state investment adviser firm, branch and representative renewal. The notice indicates that full payments of the Preliminary Renewal Statement fees must be received by December 13, 2013. Firms should review the renewal instructions for more information.

See: FINRA Regulatory Notice 13-37.