FINRA Issues Notice Regarding Broker-Dealer and Investment Adviser Renewals for 2015 (FINRA Reg. Notice 14-44)

FINRA issued a regulatory notice regarding the 2015 Renewal Program, which begins on November 10, 2014. FINRA will make the Preliminary Renewal Statements available to all firms on the Web CRD/IARD.

FINRA added that firms should note the following key dates in the renewal process:

• October 27, 2014: Firms may begin submitting postdated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
• November 1, 2014: Firms may begin submitting postdated Form BDW and ADV-W filings via Web CRD/IARD. Please Note: Postdated filings submitted by 11 p.m., Eastern Time (ET), on November 7, 2014 do not appear on the firm's Preliminary Renewal Statement. The only allowed date for postdated termination filings is December 31, 2014.
• November 10, 2014: Preliminary Renewal Statements will be available on Web CRD/IARD.
• December 12, 2014: Full payment of Preliminary Renewal Statements will be due. January 2, 2015 Final Renewal Statements will be available on Web CRD/IARD.
• January 16, 2015: Full payment of Final Renewal Statements will be due.

See: FINRA Regulatory Notice 14-44.