Act Now – FINOP Changes Required October 1

FINRA is changing its registration requirements for Chief Financial Officers (CFOs) and Chief Operating Officers (COOs).  The new registration rules take effect October 1, 2018. It is more than just a title change.  The requirement for certain firms to have a CFO/COO (requiring Series 27/28 licensing) is being applied to ALL firms, and the registration… READ MORE

FINRA 2018 Renewal Calendar – It’s Time to Fund Your CRD Account

It’s that time again—Thanksgiving is around the corner, football season is in full swing and FINRA has published its 2018 Renewal Calendar.  Firms are required to renew their registrations annually through the Renewal Process, which begins in the fourth quarter of each year. The 2018 Renewal Program begins today November 13, 2017, when FINRA makes… READ MORE

It’s Time for your Annual…Renewals: Don’t Forget to Fund your CRD/IARD Account

It’s that time again—the leaves have turned, football pools are in full swing, and FINRA has published its 2016 Renewal Calendar. December 18th is the deadline for Receipt of Preliminary Renewal Payment statements. Firms are required annually to renew their registrations through the Renewal Process, which begins in the fourth quarter of each year. Your… READ MORE