The following is a list of some of the upcoming dates regarding annual renewals for investment advisers:
Monday 11/11/19 – PRELIMINARY Renewal Statements are available through E-Bill on FINRA – Annual Renewal page.
Monday 12/1/19 – DBO Reminder Email will be sent to all Licensees to renew their license for the calendar year 2020. Licensees should ensure they have an active designated email address on file.
Monday 12/16/19 – RENEWAL PAYMENT DUE DATE. This is the DEADLINE for receipt of Preliminary Renewal Statement payments. Review the Renewal Program Payment Options for detailed information. FINRA recommends using E-Bill to pay your Preliminary Statement. If you use other means, submit your payment with additional time to sufficiently allow for mail delivery and/or payment processing to post to your Renewal Account by the deadline. FINRA-registered firms that do not have payment posted by the deadline may be assessed a Renewal Late Fee.
Thursday 12/26/19 – Last Day to submit form filings prior to year-end. Web CRD and IARD are available form 5 AM until 6 PM Eastern Time (ET).
Friday 12/27/19 – Web CRD and IARD are unavailable due to FINRA statement and renewals processing.
Saturday 12/28/19 – 12/31/19 – Web CRD and IARD are available for QUERY-only and the creation of “Pending” filings.