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2011 BD and RIA Renewal Process

Friday, November 5, 2010

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

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

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