Renewal Information

Broker-Dealers, Principals and Agents
A Financial Industry Regulatory Authority (FINRA) member shall renew its registration by submitting a $300.00 renewal fee to the CRD. A non-FINRA member shall renew its registration by submitting an Application for Renewal of Broker-Dealer Registration and the $300.00 renewal fee to the Department. Agents of FINRA members shall renew their registrations by submitting the $50.00 renewal fee to the CRD. Principals and agents of non-FINRA members shall renew their registrations by submitting the appropriate Documentation and the $50.00 renewal fee to the Department.

Investment Advisers and Investment Adviser Representatives
2003 renewals for Investment Adviser Firms and Representatives will be accomplished via the IARD... for more information on the IARD Renewals Program.

This page was last edited on: 09/13/2007