Regulatory Alerts2025-01-02 | Regulatory Notice 25-01Added · Updated
Broker-Dealer and Investment Adviser Renewals for 2025
FINRA issued Final Statements for the 2025 annual renewal of broker-dealer and investment adviser registrations, reflecting fee adjustments based on status changes after January 1, 2025. Firms must remit any additional fees owed or report discrepancies in writing by January 24, 2025. Overpayments were transferred to Flex-Funding Accounts on January 2, 2025, with refund checks resuming on January 27, 2025.
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