Broker-Dealer and Investment Adviser News
2026 Renewal Program Calendar for Broker-Dealers and Investment Advisers
On Monday, November 10, 2025, Preliminary Renewal Statements will be available through E-Bill on FINRA.
On Monday, November 24, 2025, a DFPI Reminder Email will be sent to all licensees to renew their licenses for the calendar year 2026. Licensees should ensure they have an active designated email address on file with the Department. Please refer to the “Broker-Dealer Information” and “Investment Adviser Information” sections on the Broker-Dealers and Investment Advisers page for more information about the designated email requirements.
On Monday, December 08, 2025, renewal payments are due. This is the deadline for receipt of Preliminary Renewal Statement payments. Review the Renewal Program Payment Options for detailed information. FINRA recommends using E-Bill to pay your Preliminary Statement. Otherwise, please submit your payment allowing sufficient time for mail delivery and/or payment processing to post to your Renewal Account by the deadline.
Remember FINRA-registered firms that do not have payment posted by the deadline may be assessed a Renewal Late Fee.
Friday, December 26, 2025 is the last day to submit form filings prior to year-end. Web CRD and IARD are available from 5 a.m. until 6 p.m. Eastern Time (ET).
Effective May 1, 2024, each investment adviser representative with a full year of registration must annually complete 12 credits of continuing education (six credits of Products and Practice and six credits of Ethics and Professional Responsibility). The continuing education must be completed by the representative and reported by the approved course provider before IARD shuts down for the year on December 26, 2025, at 4:00 pm E.T.
Effective July 1, 2025, the initial and renewal registration fee for broker-dealer agents and investment adviser representatives increased to $50 pursuant to Assembly Bill No. 137. This new fee will be reflected on FINRA E-Bill accordingly.
Please note that on Saturday, December 27, 2025, Web CRD and IARD will be unavailable due to FINRA Statement and renewals processing.
From Sunday, December 28, 2025 – Wednesday, December 31, 2025, Web CRD and IARD will be available for QUERY- and the creation of “Pending” filings.