Securities Renewals 2023

Annual Registration Renewal Fees Due

Securities dealer and investment adviser registrations and notice filings for investment advisers, as well as those for their agents and representatives, expire at the end of the calendar year. Renewal statements were made available to registrants through the CRD/IARD System. Renewals must be completed before January 1st to avoid any period of unlicensed activity or penalty fees for late renewal. Failure to pay renewal fees in full or delaying payment of fees may result in a Failure to Renew status for the firm and its agents and/or investment adviser representatives.

This is a reminder that full payment of registration renewal fees assessed on the Preliminary Statement must be available in your firm’s Flex-Funding or Renewal Account on Dec. 12, 2022. To retrieve your firm’s statement, log in to E-Bill and select the View Statement button in the Renewal Account section of the application. Many firms find it convenient to initiate a bank payment in E-Bill while they are retrieving their statement.

FINRA strongly recommends that your firm submit payment electronically using E-Bill, which is the only payment method that allows firms to directly fund the firm’s Renewal Account. E-Bill also offers email alert options to manage renewals and other accounting matters. See the E-Bill User Guide to learn more. Please visit the Renewal Payment Options page for other payment method instructions.

For complete renewal information, visit FINRA’s Renewal Program page.

Questions? Contact CRD.
Phone: (301) 869-6699
Email: [email protected]

Or contact: Arkansas Securities Department -501-324-9260.