BD and IA Renewals for 2011

FINRA Regulatory Notice

FINRA issued a notice to provide guidance to firms on the recently available Final Renewal Statements and reports for broker-dealers, investment adviser firms, agents and investment adviser representatives, and branches. The payment deadline for the process is February 4, 2011.

Document Number

FINRA RN 11-01

Date

Jananuary 3, 2011