Thursday, December 13, 2012

2013 Renewal Fees - DEADLINE 12/13/12

The 2013 Renewal Fees were due on 12/13/2012 for all firms (RIAs and BDs). If you have not funded your renewal account with the appropriate fees, you must do so promptly.

FINRA notices also make mention of a $100 late fee plus interest. RIAs are not subject to those fees (only FINRA members for FINRA fees). However, you still need to give prompt attention to this matter. The systems close for transactions on the 20th for the year. If you are not paid by the 20th, you risk being terminated by the states.

If you have any questions regarding your fees, please contact us at


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