Finding A Way.

Client Alert: Preliminary Renewal Statements Due December 12

Your firm’s Preliminary Renewal Statements are available online on FINRA’s Web CRD/IARD.  They include a list of renewal fees, including processing fees; branch office fees; exchange maintenance fees; state renewal fees; and investment adviser and representative renewal fees. Full payment of the Preliminary Renewal Statements must be received by FINRA no later than December 12. FINRA will automatically transfer funds from your daily account to your renewal account if you have not paid by December 12.   If you wish to transfer funds between affiliated firms, you should submit a Transfer Form that is also available on FINRA’s website.

Please make sure that you have sufficient funds in your daily account if you have not yet sent payment so that you don’t become ineligible to do business.