FINRA Notifies Firms to Reconcile Final Statements

FINRA reminded member firms to review and respond to their Final Statements, which are now available in E-Bill form. The statements 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, 2017, and include adjustments to fees that firms owe due to changes in registrations, reporting statuses, or notice filings following their Preliminary Statements. Any amounts remaining payable to FINRA are due by January 22, 2018. FINRA also provided instructions on how firms may pay the fees reflected in Final Statements.