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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA 2012 Renewal Program
The 2012 Renewal Program Calendar is now available. The FINRA Renewal Program facilitates the annual renewal of FINRA, state/jurisdiction and self-regulatory organization (SRO) registrations for broker-dealers and associated registered persons.
The Renewal process begins 10/3/11. At that time, firms are advised to review their registered persons to ensure that they have properly and timely reported all appropriate information to Web CRD and that all open branch offices have individuals assigned to them and are accurately reported.
On 10/24/11, firms may begin to submit post-dated Forms U5 and BR Closing/Withdrawal via Web CRD and/or IARD. All post-dated forms must be dated 12/31/11.
On 11/1/11, firms may begin submitting post-dated Forms BDW and ADV-W. All post-dated forms must be dated 12/31/11.
For all dates, go to: [FINRA 2012 Renewal Program Calendar]
To see what's changed at Web CRD - implemented with software release 2011.2 on 6/20, go to: [RAD Sustainment Release 2011.2].
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