Regulatory Alerts2024-01-02 | Regulatory Notice 24-01Added · Updated
Broker-Dealer and Investment Adviser Renewals for 2024 Final Statements
FINRA issued Final Statements on January 2, 2024, for broker-dealers and investment advisers to reconcile 2024 renewal fees based on December 31, 2023, statuses. Firms must remit any additional fees owed or report discrepancies by January 26, 2024, while overpayments were transferred to Flex-Funding Accounts on January 2, 2024. Refund checks are scheduled to resume on January 29, 2024, following the suspension during the Annual Renewal Program.
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