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Retrieve (and Schedule Payment for) the Preliminary Statement in E-Bill

Preliminary Statements are available in E-Bill beginning Nov. 10. Entitled users can view renewal accounts, generate annual renewal statements, pay annual renewal assessments, and enable email alerts about the Renewal Program. Many firms find it convenient to submit or schedule their payment while logged in to E-Bill to retrieve the statement. Preliminary Statement reports are available in CRD and IARD. Be sure to save or print reports before Final Statements are generated.

Begin Preparing Post-Dated Forms BDW and ADV-W

Starting Nov. 3, firms can initiate Forms BDW and ADV-W filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.

2023078410201 Wells Fargo Clearing Services, LLC CRD 19616 AWC vr (2025-1757636400669).pdf

From at least June 2019 to November 2024, Wells Fargo failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), that was reasonably designed to achieve compliance with Section 15B(a)(1)(B) of the Securities Exchange Act of 1934, which prohibits unregistered municipal advisory activity. As a result, Wells Fargo violated MSRB Rule G-27 and FINRA Rules 3110(a) and (b) and 2010. For these violations, Wells Fargo is censured and fined $275,000.

2018056490331 Mack Leon Miller CRD 2822317 AWC vr (2025-1757636400429).pdf

Between October 2019 and April 2022, Miller recommended to two retail customers a series of trades that were excessive, unsuitable, and not in the customers' best interests. As a result, Miller willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rules 2111 and 2010. For these violations, Miller is suspended for nine months in all capacities...

24-00880.pdf

22-01257.pdf

Begin Preparing Post-Dated Forms U5 and BR Closing/Withdrawal Filings

Starting Oct. 13, firms can submit Forms U5 and BR Termination filings with a termination date of Dec. 31. Submitting these filings allows firms to request termination of registrations in advance. Registrations terminated through these post-dated filings before Preliminary Statements are generated will not be included.