FINRA Regulatory Notice 18-37

On Oct. 31, FINRA issued 2019 renewals of BD/IA firms, branches.


  • For broker-dealer, investment adviser firms, agent and IA reps, branch renewals.


  • From Oct. 22, 2018, firm may file post-dated Form U5; BR Closing; in CRD/IARD.
  • On Nov. 1, 2018, firm may begin submitting post-dated Form BDW; ADV-W filing.
  • 2018 renewal program begins Nov. 12, 2018, payment deadline is Dec. 17, 2018.
  • From Nov. 12, 2018, preliminary statements will be available for viewing in E-Bill.

Late Payments

  • Failure to pay by Dec. 18, 2018, may leave firm ineligible for business, on Jan. 1.
  • FINRA-firms are also subject to late fee, if payment not received by Dec.17, 2018.
  • Firms should review renewal instructions, IARD renewal bulletin on IARD website.
  • Any information mailed to ensure continued eligibility to do business in 2019.