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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 a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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