November 2015 Must-Dos

2016 Preliminary Renewal Statements and Review of Registrations Now is the time for every firm to review which FINRA, SRO and jurisdiction/state registrations it wishes to retain, add, or delete for the year 2016. Firms may now begin to submit post-dated Forms U5, BDW, ADV-W and BR Closing/Withdrawal via Web CRD (and/or IARD). All post-dated […]

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