Nov 10
2016

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 sent to registrants the week of November 8, 2016. 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 registered representatives and/or investment adviser representatives. Renewals must be completed before January 1st to avoid any period of unlicensed activity or penalty fees for late renewal.

For timely processing, the renewal fees should be submitted by December 16, 2016. Below is important information for timely completion of the renewal process. Consult the current schedule of fees.

FINRA MEMBER DEALERS AND REGISTERED INVESTMENT ADVISERS: The preliminary renewal statement from FINRA outlines the total amount of renewal fees due. To renew your registration for the upcoming calendar year, pay the renewal amount in full directly to CRD/IARD.

NOTICE FILING FEDERAL COVERED INVESTMENT ADVISERS: The preliminary renewal statement from IARD outlines the total amount of renewal fees due. To renew your notice filing for the upcoming calendar year, pay the renewal amount in full directly to IARD.

NON-FINRA DEALERS: The renewal statement from the Texas State Securities Board sets out the total amount of renewal fees due. Payments should be made directly to the Board by mail to: Texas State Securities Board, P.O. Box 13167, Austin, TX 78711-3167. Checks should be made payable to Texas State Securities Board and contain your Texas File Number in the memo line.