Renewal Filing for FINRA Broker-Dealer Agents
All Broker-Dealers are responsible for renewing the licenses of their Agents prior to the end of every calendar year (December 31). FINRA members must submit renewal applications through WebCRD. Please see the FINRA website for filing deadlines. The renewal fee for each agent is $45.00.
Renewal Filing for Non-FINRA Broker-Dealer Agents
All Broker-Dealers are responsible for renewing the licenses of their Agents prior to the end of every calendar year (December 31). Non-NASAA members must submit the renewal fees and other related correspondence directly to the DISB Securities Bureau's Lock Box [PDF]. The renewal fee for each agent is $45.00.