Just a friendly reminder that it is FINRA renewal season for broker-dealers and investment advisers. Preliminary Renewal Statements are already available on Web CRD and IARD. Payment for registrations is due to FINRA by December 11, 2009.

Additionally, a new "CRD Renewal" contact has been added to the FIRNA Contact System. Firms can now designate who receives renewal notifications, such as the person responsible for paying the registration renewal fees.

Should you need assistance with renewals or any other compliance matters, please give Cobia a call at 713-481-1884.