Renewal Of FINRA Dealer

All FINRA member dealers must renew the firm and their salespersons through the WebCRD. A Preliminary renewal statement is made available to each firm online in the Account section of WebCRD in early November each year. The firm’s renewal account must be funded for the entire preliminary renewal statement amount, regardless of whether there are additions or deletions in the number of reps, in order for the firm and their salespersons to be renewed. Failure to fund the renewal account with the entire amount on the preliminary renewal account statement will result in the firm and its salespersons being terminated. The renewal account must be funded prior to WebCRD shutdown in mid to late December. There are no exceptions in Ohio. You must renew through WebCRD. Ohio will not accept a payment by check directly to the Division.

Renewal Of Non-FINRA Dealer

All Non-FINRA dealers will receive a renewal questionnaire, salesperson roster, fee worksheet, and instruction letter in late October to early November. The renewal questionnaire must be completed and received by the Division with the salesperson roster, fee worksheet, and check made payable to the “Division of Securities” no later than December 31 or the last business day of December each year, whichever occurs earlier. Failure of the firm to submit the complete renewal package to the Division prior to the end of the calendar year will result in the firm and its salespersons being terminated.

Renewal Of Investment Advisers

All Investment Advisers must renew the firm and their investment adviser representatives through the WebIARD/CRD. A Preliminary renewal statement is made available to each firm online in the Account section of WebIARD/CRD in early November each year. The firm’s renewal account must be funded for the entire preliminary renewal statement amount, regardless of whether there are additions or deletions in the number of investment adviser representatives, in order for the firm and their investment adviser representatives to be renewed. Failure to fund the renewal account with the entire amount on the preliminary renewal account statement will result in the firm and its investment adviser representatives being terminated. The renewal account must be funded prior to WebIARD/CRD shutdown in mid to late December. There are no exceptions in Ohio. You must renew through WebIARD/CRD. Ohio will not accept a payment by check directly to the Division.