Category Archives: Renewals
In order for an investment adviser to maintain active state registration or notice filing statuses, as well as active state registration statuses for investment adviser representatives licensed under an investment adviser firm, renewal fees must be paid, in full, by all investment advisers by no later than December 12, 2011. Investment advisers need to be [...]
Posted by Bryan Hill
Wednesday, November 30, 2011
Investment adviser firms and investment adviser representatives must maintain active registrations and/or notice filing statuses with applicable jurisdictions/states. Investment advisers should be aware that renewing registrations includes paying all applicable renewal fees by December 12, 2011. Unless properly renewed, all investment adviser firm and representative registrations will expire on December 31st of each calendar year. [...]
Posted by Bryan Hill
Wednesday, November 9, 2011
The 2012 IARD renewal season is quickly approaching and investment advisor firms must plan accordingly. As of October 24, 2011, investment advisor firms may submit certain post-dated filings. Post-dated Form U5 filings are used 1) to terminate an investment advisor representative from the investment advisor firm and 2) to terminate an investment advisor representative from [...]
Posted by Bryan Hill
Tuesday, November 1, 2011
As 2011 is quickly coming to an end, now is the time for each registered investment advisor to begin preparations for IARD renewals for the investment advisor firm and its investment advisor representatives. Registered investment advisors must make sure that they remain properly registered at all times. If you are an SEC registered investment advisor, [...]
Posted by Bryan Hill
Wednesday, October 26, 2011
Beginning Monday, November 14, 2011, registered investment advisor firms can access their 2012 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Monday, December 12, 2011. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than [...]
Posted by Bryan Hill
Tuesday, October 18, 2011
Beginning Monday, November 16, 2009, registered investment advisor firms can access their 2010 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 11, 2009. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than [...]
In a joint statement issued last week, the SEC and NASAA announced that they will continue the waiver of the IARD initial and annual system fees applied to registered investment advisor firms. The fee waiver will continue through July 31, 2009. NASAA also announced a waiver of the annual $30 system fee for investment adviser [...]
Posted by Bryan Hill
Wednesday, November 5, 2008
Beginning Monday, November 10, 2008, investment advisor firms can access their 2009 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 12, 2008. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Wednesday, [...]
Posted by Bryan Hill
Wednesday, October 15, 2008
Now that we are into a new year, can you confirm your registered investment advisor and its advisor representatives were properly renewed for 2008? Every year there are always a handful of firms that fail to submit renewal fees through the IARD system in a timely fashion. Therefore, even if you think the renewal payment [...]
Posted by Bryan Hill
Thursday, January 3, 2008
Beginning today, Monday, November 5, 2007, investment advisor firms can access their 2008 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Monday, December 10, 2007. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than [...]
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