Designated Principal(s) Renewal Securities
- The Designated Principal(s) renewal is due on or before December 31 of each year.
- Please review, update, and submit to complete your renewal. You will need your PIN to access the web application.
- Failure to submit this renewal by the due date will result in a late filing fee of $50-$250. Furthermore, enforcement action may be taken.
- If you are a Broker Dealer and have questions about your Designated Principal(s) renewal, please email email@example.com..
- If you are an Investment Adviser and have questions about your Designated Principal(s) renewal, please email firstname.lastname@example.org..