The North American Securities Administrators Association extended its waiver of Investment Adviser Registration Depository system fees on state-registered investment adviser firms in 2022.
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FINRA provided clarification to member firms on reviewing, adjusting and responding to their "Final Statements" and renewal reports.
NFA reminded firms that are engaged in swaps activities to pay the new annual dues surcharge by January 1, 2020.
The North American Securities Administration Association will continue to waive Investment Adviser Registration Depository system fees for state-registered investment adviser firms in 2020.
FINRA notified firms that their Final Statements are now available for review in the E-Bill system.