Tag Archives: IARD

Renewal Fees

Preliminary Renewal Statements are available on the IARD.  This statement includes the fees due to states for 2018.  These fees are due whether you are a state or an SEC advisor. Payment is due on or before December 18, 2017. … Continue reading

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Deadline for Annual Updating Amendments

All advisers must file an annual updating amendment within 90 days after the end of the firm’s fiscal year.  For most advisors that deadline is next Tuesday, March 31st.

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Preliminary Renewal Statements

Time to prepare for the 2013 Renewals.  The Preliminary Renewal Statement will be ready for viewing on Monday, November 12th.  Prior to that time, you may want to confirm that the states in which you are registered or noticed filed … Continue reading

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Maintaining Correct Disclosures

When completing a renewal for any professional designation or certification, be sure to read all the questions carefully. For example, one of the questions on the CFP renewal application is “Have you ever been a defendant or respondent in a … Continue reading

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IARD – Past Due email

You may have received an email today from FINRA/IARD.  The Subject line is Org#xxxxxx  – Past Due: FINRA Entitlement User Accounts Certification.  The body of the  email is “past due text”.  If you have received this email, please disregard.  If … Continue reading

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