FINRA CRD Available to Post-Date Forms BDW & ADV-W
FINRA Member Firms may begin to submit post-dated Forms BDW & ADV-W on FINRA CRD
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CRD
Web CRD and IARD Unavailable
Web CRD and IARD are unavailable due to the holiday schedule and year-end processing.
Automatic Transfers
Automatic transfers: Firms with sufficient monies in their Flex-Funding Accounts will have funds transferred to their Renewal Accounts to cover total renewal fees owed. Transfers will b e conducted every day until any outstanding renewal assessment is satisfied.
Deadline for Final Renewal Statement payments
Deadline for Final Renewal Statement payments.
2016 Web CRD/IARD Training
The 2016 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.
CRD Accounting Pages to be retired
The accounting details on your firm's Flex-Funding and Renewals accounts, which were previously only available in Web CRD, are now available in E-Bill along with enhanced capabilities for accessing that information. The Accounting pages in Web CRD will remain functional until June 17, 2016, after which they will be retired. CRD Accounting reports will remain … Continue reading CRD Accounting Pages to be retired
FINRA Final Renewal Statements Available
Retrieve your Firm’s Final Renewal Statement Beginning January 3, 2017, firms can review Final Statements by logging onto E-Bill. Firms can also retrieve their renewal reports through Web CRD/IARD. You should review the statement for accuracy and keep a copy of the final statement and renewal reports for your records. The 2017 Renewal Program - … Continue reading FINRA Final Renewal Statements Available
FINRA Entitlement User Account Certification Process
FINRA's Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have the appropriate entitlement privileges to perform their … Continue reading FINRA Entitlement User Account Certification Process
FINRA Final Renewal Statement Due
Reconcile or Pay your Final Statement Report in writing to FINRA any discrepancies you find on your Final Statement. FINRA must receive this by January 20, 2017. This is also the deadline date for which FINRA must receive payment if there is a balance due on your firm’s Final Renewal Statement.
FINRA Contact System Due Date
Annual Verification Due As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. Please login to FCS and perform your annual review. This year's deadline is Thursday, January 26, 2017. If you have questions on how to complete … Continue reading FINRA Contact System Due Date
Due: FINRA’s Annual Entitlement Account Certification Process
FINRA's Annual Entitlement User Accounts Certification Process begins on January 9, 2017, and ends February 9, 2017. During this period, Super Account Administrators (SAAs) for firms with more than one user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have the appropriate entitlement privileges to perform their … Continue reading Due: FINRA’s Annual Entitlement Account Certification Process