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The following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If you are currently registered with a firm and are unsure of your CE requirements, you should contact your firm.Preliminary and Final Statements are posted to your firm's Renewal Account within E-Bill. A listing of general registration, membership, fingerprint processing, qualification examination fees. Although this guide highlights certain provisions of the Act and our rules, it is not comprehensive. Broker Dealers ; Affidavit of No Sales. Affidavit of No Sales. Registrations and notice filings must be renewed annually for the investment adviser and investment adviser representative to remain current. Registrations and notice filings must be renewed annually for the investment adviser and investment adviser representative to remain current. Additionally, a full filing fee must be paid no matter how long the initial registration will last.
