The 2021 Renewal Program begins November 16, 2020

The 2021 Renewal Program begins November 16, 2020 for Broker-Dealers, Investment Adviser Firms, Agent and Investment Adviser Representatives as well as Branch renewals.  During the renewal time, firms should conduct a review of their registrations to ensure compliance with state and FINRA registration requirements.  More information about this annual process, including important deadlines, are noted in FINRA’s Regulatory Notice 20-39.