FINRA is offering its assistance to firms as they review, reconcile and respond to their Final Renewal Statements, as well as view reports currently available in Web CRD/IARD for the annual registration renewal process.

The payment deadline is 2/3/12!

Final Renewal Statements. Today, 1/3/12, Final Renewal Statements and reports became available for viewing and printing in Web CRD.  They reflect the final status of BD, RR, IA, IAR, and branch registrations and/or notice filings as of 12/31/11. Any adjustments in fees owed because of registration terminations, approvals, firm IA registrations or notice filings subsequent to the Preliminary Renewal Statement are included in this final reconciled statement.  Firms either owe additional renewal fees (due by 2/3) if the final statement assessment is greater that the preliminary statement assessment. Conversely, if the Final Statement assessment is less than the preliminary Statement assessment, then FINRA has issued a credit to the firm’s Web CRD/IARD Daily Account.  [C-I: Don't spend it in one spot.] The Final Renewal Statements include the following fees,  if applicable:

• Web CRD system processing fees;
• FINRA branch office fees;
• FINRA branch renewal processing fees;
• BATS-Y and BATS-Z Exchanges, Nasdaq and affiliated BX and Phlx, C2 Options, CBOE, CHX, EDGA and EDGX, ISE, NYSE and affiliated Amex and Arca maintenance fees;
• State agent renewal fees;
• State BD renewal fees;
• IA firm and representative renewal fees, if applicable; and,
• BD and/or IA branch renewal fees.

The payment deadline is 2/3/12!

FINRA RegNote 12-1 also covers ... procedures applicable to:  Renewal Payments;  Automatic Daily Account-to-Renewal Account Transfer;  Web CRD/IARD E-Pay;  Check Payments;  Wire Payments;  Renewal Reports;  and, Discrepancies. FINRA Contacts. Direct questions to:  FINRA Call Center at (301) 869-6699. For complete details, go to:  [FINRA RegNote 12-01, January 2012].