It’s that time of year again – firm registration renewals are due by December 11, 2009.
Other important upcoming dates:
* December 24, 2009 – Deadline to submit any form filings for 2009.
* December 25, 2009 to January 3, 2010 – Both the IARD and CRD systems will be unavailable between these dates.
* January 1, 2010 – FINRA’s new fee hikes on the Gross Income Assessment schedule take effect. See Regulatory Notice 09-68
* February 5, 2010 – Deadline to submit any renewal changes or final payments on delinquent accounts.
* March 31, 2010 – Deadline for Form ADV and Form BD amendments.
