FINRA Regulatory Notice 14-01: Final Renewal Statements for Broker-Dealers and IA

FINRA has issued a regulatory notice to help firms review, reconcile and respond to their Final Renewal Statements, as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. FINRA stated that, if the amount assessed on the Final Renewal Statement is greater than that which is assessed on the Preliminary Renewal Statement, the additional renewal fees are due by January 10, 2014. If the amount assessed on the Final Renewal Statement is less than that which is assessed on the Preliminary Renewal Statement, FINRA has issued a credit to the firm's FINRA FlexFunding Account.FINRA noted that these statements should reflect the final status of broker-dealer, registered representative, investment adviser firm, investment adviser representative, and branch registrations and/or notice filings as of December 31, 2013.

See: Regulatory Notice 14-01.