FINRA Renewal Program – CRD & IARD Limited Availability
Web CRD and IARD are available for QUERY-only and the creation of "Pending" filings.
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Calendar of Events
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FINRA Renewal Program – CRD & IARD Unavailable
Web CRD and IARD are unavailable due to renewals processing.
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FINRA Renewal Program – Final Statement Available
Web CRD and IARD are available with complete functionality as of 5 a.m., ET, including submitting form filings and approving registrations. • Overpayments are transferred to firms' Flex-Funding Account. Refund requests should be made from this account through E-Bill. • Final Statements are available for viewing and printing through E-Bill.
Annual Firm Renewals – Final Renewal Statement Availability on CRD or IARD
Final Renewal Statements will be available online on either Web CRD or IARD. If you have a renewal overpayment. it will be automatically transferred to your daily account in conjunction with year-end renewal processing. Refund requests are made from this account.
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Short Interest Reporting Due Date for 12/31/2018
Short Interest Reporting Due Date for 12/31/2018
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. Questions Questions regarding the information that firms need to file can be directed to the appropriate District Office. Questions regarding system requirements, file uploads and related submission problems should be directed to (800) 321-6273. Business questions … Continue reading Short Interest Reporting Due Date for 12/31/2018
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Proposal to Amend FINRA Rules 12214 and 13214 in effect
Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a … Continue reading Proposal to Amend FINRA Rules 12214 and 13214 in effect
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Customer Margin Balance Report Due – Period ending 12/31/2018
FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts. Customer Margin Balance Reporting and Margin Statistics FINRA Rule 4521 requires that member firms that carry customer margin accounts must submit — via the Customer Margin Balance Form — the following numbers: the total … Continue reading Customer Margin Balance Report Due – Period ending 12/31/2018
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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, "customer" includes any … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2018)
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2019 FINRA RegTech Conference
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’ compliance … Continue reading 2019 FINRA RegTech Conference
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Outside Brokerage Account Review (FINRA Rule 3270)
The firm should complete the review of the outside brokerage accounts of all associated persons for the prior month. http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=3728
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FINRA Renewal Program – Final Statement Payment Deadline
DEADLINE for receipt of Final Statement payments. Firms with sufficient monies in their Flex- Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. Transfers will be conducted every day until any outstanding renewal assessment is satisfied.
Martin Luther King, Jr. Day – Market Holiday
FINRA operates Monday - Friday during regular business hours. FINRA is closed whenever the markets are closed. In addition, FINRA and financial markets may close early the day before a holiday. http://www.finra.org/AboutFINRA/HolidaySchedule
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FINRA Contact System Review
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and By-Laws. Designated firm contacts are used to facilitate voting in FINRA elections, compliance with various rules and By-Laws, and to improve FINRA's communication with our member firms. FINRA Rule 4517 requires firms to: update all contact information … Continue reading FINRA Contact System Review
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Outside Business Activities Review
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or … Continue reading Outside Business Activities Review
Annual Firm Filing and Contact Reporting for 2019
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic … Continue reading Annual Firm Filing and Contact Reporting for 2019
Annual FCS Reporting for 2019
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic … Continue reading Annual FCS Reporting for 2019
Form Custody Filings (period ended 12/31/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly Form Custody (Quarter ended 12/31/2018)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
MSRB Update of Primary Contact Information (MSRB G-40)
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 business days after the end of each calendar year. In addition to this annual requirement, MSRB Rule G-40 requires municipal securities dealers and municipal advisors … Continue reading MSRB Update of Primary Contact Information (MSRB G-40)
Monthly & Fifth FOCUS IIA Filings (Month ending 12/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 12/31/2018)
Net Capital Computation (Month ending 12/31/2018)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.
Annual Schedule I Filing for 2018
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2018)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter. taft.law.uc.edu/CCL/34ActRls/rule17a-5.html
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Annual Schedule I Filing for 2018
SEC Rule 17a-10 requires broker-dealers to file Schedule I within 17 business days after calendar year-end.
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Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2018)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. The reports also will disclose the nature of the broker-dealers relationship with those venues, including the existence of any internalization or payment for order flow … Continue reading Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2018)
Annual Audit Filing Due Date (Period Ending 11/30/2018)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audit Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 11/30/2018)
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Supplementary Inventory Schedule Reporting period end date of 12-31-2018
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of … Continue reading Supplementary Inventory Schedule Reporting period end date of 12-31-2018
Quarterly SSOI Supplemental FOCUS Information (Quarter ending 12/31/2018)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. The SSOI is designed to provide FINRA with greater detail regarding firm’s revenue and expenses. finra.complinet.com/en/display/display.html
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MSRB Rule G-37 Quarterly Reporting Deadline – Q4 2018
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a … Continue reading MSRB Rule G-37 Quarterly Reporting Deadline – Q4 2018
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SIPC Assessments (Year ending 12/31/2018) SIPC 7
SIPC Assessments (Year ending 12/31/2018) SIPC 7
Members of SIPC are required to pay their assessment on SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than 30 days … Continue reading SIPC Assessments (Year ending 12/31/2018) SIPC 7
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Form OBS Quarterly filing due for Q4 2018
Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS) Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis. A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period. … Continue reading Form OBS Quarterly filing due for Q4 2018