Regulatory Alerts2023-10-31 | Regulatory Notice 23-18Added · Updated
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2024
FINRA establishes the 2024 renewal program for broker-dealers, investment advisers, agents, and representatives, requiring full payment of Preliminary Statement fees by December 11, 2023, to avoid late fees. Firms must submit all electronic form filings and payments by December 26, 2023, to maintain eligibility for business in participating jurisdictions. Final Statements reflecting registration status as of December 31, 2023, become available on January 2, 2024, with a final payment and discrepancy reporting deadline of January 26, 2024.
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