Navigating the Regulatory Maze for Investment Advisors - Renewals : Registered Investment Advisor (RIA) Compliance Consultants

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Category Archives: Renewals

2008 IARD Annual Renewal and Form ADV Annual Amendment Requirements

Beginning 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 Thursday, [...]

Posted by Bryan Hill

Wednesday, October 24, 2007

Labels: Form ADV, Registration, Renewals

Did your firm renew for 2007?

Now that renewal season is over, can you confirm your firm and its advisor representatives were properly renewed for 2007? It seems like 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 was [...]

Posted by Bryan Hill

Wednesday, January 24, 2007

Labels: IARD, Renewals

Final Renewal Statements and Web CRD/IARD Functionality

Beginning Tuesday, January 3, 2006 advisor firms will be able to retrieve their Final Renewal Statements via the Web CRD/IARD system. It is important that all advisor firms review their Final Renewal Statement to ensure its accuracy. The Final Renewal Statement will indicate one of three things. 1. Paid in Full – If your firm’s [...]

Posted by Bryan Hill

Monday, January 2, 2006

Labels: Renewals

Preliminary Renewal Statement Deadline and IARD/CRD System Shutdown

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

Labels: IARD, Renewals

Preliminary IARD Renewal Statements

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

Labels: IARD, Renewals



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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