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It’s that time of year again - firm registration renewals are due by December 11, 2009. Your firm’s WebCRD e-pay accounts need to be funded appropriately.
Other important upcoming dates:
- December 24, 2009 - Deadline to submit any form filings for 2009.
- December 25, 2009 to January 3, 2010 - Both the IARD and CRD systems will be unavailable between these dates.
- January 1, 2010 - FINRA’s new fee hikes on the Gross Income Assessment schedule take effect. See Regulatory Notice 09-68
- February 5, 2010 - Deadline to submit any renewal changes or final payments on delinquent accounts.
- March 31, 2010 - Deadline for Form ADV and Form BD amendments.
FrontLine Compliance is available to assist you during this busy time and perform your annual filing updates for 2010.
View FrontLine Compliance Registration and Filings Service
FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.
FrontLine Compliance, LLC
phone: 888-518-8070
email: info@frontlinecompliance.com
www.frontlinecompliance.com
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