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TRENDING TAGS
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- 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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More on BD, IA Renewals for 2011
FINRA reminds broker-dealers, investment adviser firms, agents and investment adviser reps, and Branch Offices that it's time to renew for 2011 - and the deadline for paying is 12/13/10.
The 2011 Renewal Program begins on 11/15, when FINRA makes available the online Preliminary Renewal Statements to all firms on Web CRD/IARD. Here are other key 2010-2011 dates:
- 10/25/10. Begin submitting post-dated Form U5 and BR Closing/Withdrawal filings (on Web CRD/IARD).
- 11/1/10. Begin submitting post-dated Form BDW and ADV-W filings (CRD/IARD ).
- 11/15/10. Preliminary Renewal Statements available. (CRD/IARD).
- 12/13/10. Full payment of Preliminary Renewal Statements due.
- 1/3/11. Final Renewal Statements available (CRD/IARD).
- 2/4/11. Full payment of Final Renewal Statements due.
N.B. Post-dated filings submitted by 11 a.m. on 11/12/10 do not appear on the firm’s Preliminary Renewal Statement. Post-dated termination filings allowable only on 12/31/10.
Call FINRA Gateway Call Center with questions: (301) 869-6699. For further details, click onto: [ FINRA RegNote 10-58, November ]
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