Monday, December 12 is the last day to submit payment to your IARD Renewal Account in order to ensure the necessary fees are received by the NASD and posted to your investment advisor firm’s account by Wednesday, December 14, the final deadline to have preliminary renewal fees paid. According to the NASD, failure to submit [...]
Posted by Bryan Hill
Thursday, December 8, 2005
Beginning Monday, November 21, 2005, investment advisor firms can access their 2006 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Wednesday, December 14, 2005. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Monday, [...]
Posted by Bryan Hill
Tuesday, November 22, 2005
Does your investment advisor firm have an office location in a state that requires branch office registration? If so, have all of your office locations been properly reported to the appropriate state regulatory office? Depending on whether your firm is SEC or State registered, your firm may need to register its investment advisor office locations [...]
Now is the time to start planning for the 2006 renewal season. The NASD recently released its 2006 IARD Annual Renewal Program Calendar. While the 2006 Renewal Bulletin and full instructions have not been released yet, investment advisor firms should refer to the calendar now in order to begin planning for the upcoming renewals. According [...]
Posted by Bryan Hill
Monday, September 5, 2005
A common question asked by many advisors during the registration process is whether the firm needs to file the Form ADV Part II with the appropriate regulator. As you know, the IARD system went live in early 2001. Initial plans were that the entire Form ADV would be filed online through the IARD system; however, [...]
