November 2023 Monthly Bulletin
2024 Renewal Program Calendar for Broker-Dealers and Investment Advisers
Monday, Nov. 6, 2023 – PRELIMINARY Renewal Statements are available through E-Bill on FINRA.
Monday, Nov. 20, 2023 – DFPI Reminder Emails will be sent to all licensees to renew their license for the calendar year 2024. Licensees should ensure they have an active designated email address on file with the Department. Please refer to the “Broker-Dealer Information” and “Investment Adviser Information” sections on the Broker-Dealer Investment Adviser page for more information about the designated email requirements.
Monday, Dec. 11, 2023 – RENEWAL PAYMENT DUE DATE. This is the DEADLINE for receipt of Preliminary Renewal Statement payments. Review the Renewal Program Payment Options for detailed information. FINRA recommends using E-Bill to pay your Preliminary Statement. If you use other means, submit your payment with additional time to sufficiently allow for mail delivery and/or payment processing to post to your Renewal Account by the deadline. FINRA-registered firms that do not have payment posted by the deadline may be assessed a Renewal Late Fee.
Tuesday, Dec. 26, 2023 – Last Day to submit form filings prior to year-end. Web CRD and IARD are available from 5 AM until 6 PM Eastern Time (ET).
Wednesday, Dec. 27, 2023 – Web CRD and IARD are unavailable due to FINRA statement and renewals processing.
Thursday, Dec. 28, 2023 – Dec. 31, 2023 – Web CRD and IARD are available for QUERY-only and the creation of “Pending” filings.
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