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YEAR-END CLOSING DATES AFFECTING ALL INVESTMENT ADVISERS AND BROKER DEALER REGISTRANTS


ATLANTA, GA - 

IMPORTANT NOTICE OF YEAR-END CLOSING DATES AFFECTING ALL INVESTMENT ADVISER AND BROKER DEALER REGISTRANTS:

December 16th  - Deadline to submit payments for registration renewals for firms and individuals on Web CRD/IARD.  Please be sure to fund your FINRA account well before the deadline to avoid being in jeopardy for Failure To Renew (FTR). 

December 26-27, 2016 - State of Georgia Securities and Charities Division will be CLOSED. We will NOT be processing registration requests on December 26-27, 2016. 

December 27, 2016 – January 2, 2017 -   Registrants are highly encouraged to read and review the 2017 Renewal Program Calendar for Web CRD/IARD which is accessible at this link: http://www.finra.org/sites/default/files/crd-renewal-program-calendar.pdf.  Please note that Web CRD/IARD will be unavailable on Wednesday, December 28, 2016, and available in view-only on December 29 – December 31, 2016.

January 2, 2017 - State of Georgia Securities and Charities Division will be CLOSED today, and will re-open on Tuesday, January 3, 2017. 

January 3, 2017 – Web CRD/IARD is available with complete functionality.


Contact

214 State Capitol
Atlanta, Georgia 30334
844.753.7825
E-Mail
© 2012 Georgia Secretary of State