Securities dealer, investment adviser registration 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 for Non-FINRA Dealers were mailed to registrants the week of October 30, 2017. 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.
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 15, 2017. Below is important information for timely completion of the renewal process.
Please consult the current schedule of fees.
FINRA MEMBER DEALERS AND REGISTERED INVESTMENT ADVISERS: The November 13th 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 November 13th 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.