Regulatory Notice 26-01

Summary

FINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions.

In November, FINRA issued Preliminary Statements announcing estimated renewal fees. Final Statements are now available to confirm or reconcile actual renewal fees owed as of January 1, 2026.

2023078794802 Carter, Terry & Company, Inc. CRD 16365 AWC vrp.pdf

Since June 30, 2020, Carter Terry has failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the Care Obligation of Rule 15l-1 of the Securities Exchange Act of 1934 (Reg BI) with respect to Unit Investment Trust recommendations. Carter Terry therefore violated FINRA Rules 3110 and 2010.
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