Regulatory Notice 26-22

While no new requirements are introduced, compliance teams should ensure they understand the two key statements involved and verify that renewal payments are made accurately and on time. Firms should review their registration data and fee obligations to avoid administrative penalties or lapses in registration. The program facilitates multi-jurisdictional filings, so firms operating in multiple states should pay close attention to the statements and reconcile payments.

Action: designate responsible personnel to monitor renewal statements, confirm receipt, and validate fee calculations.