DFPI Monthly Bulletin – November 2022
Broker-Dealer/Investment Adviser Renewals Due Dec. 12
A reminder that 2023 registration renewal statements and fees for the Broker Dealer/Investment Adviser (BDIA) program are due by Dec. 12, 2022.
All registered firms may view and print their preliminary renewal statements through E-Bill on FINRA’s WebCRD/IARD system. The DFPI will be sending out courtesy renewal reminder on Nov. 21. Annual renewal fees are due for broker-dealers, investment advisers and exempt reporting advisers.