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Friday, November 5 2010

2011 BD and RIA Renewal Process

The 2011 Renewal Program begins on November 15, 2010 when FINRA releases the Preliminary Renewal Statements on Web CRD/IARD.

Firms should note the following key dates for the renewal process:

October 25, 2010 – Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings

November 1, 2010 – Firms may begin submitting post-dated BDW and ADV-W filings

November 15, 2010 – Preliminary renewal statements available

December 13. 2010 – Full payment of renewal statements due

January 3,2011 – Final Renewal statements available

February 4, 2011 – Full Payment of final renewal statement due

For the full FINRA NTM, click here: BD and IA Renewals