Deadline for Receipt of Preliminary Renewal Statement Payments Quickly Approaching

December 05, 2013

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The deadline for investment advisers submit their Preliminary Renewal Statement payment is quickly approaching. FINRA must be in receipt of the full payment listed on the Preliminary Renewal Statement by December 13, 2013. Investment advisers with sufficient funds in their Flex-Funding Account to cover the Preliminary Renewal Statement payment will have funds automatically transferred to the Renewal Account to cover total renewal fees owed on December 11, 2013. Investment advisers that choose to mail in their payments are advised to do so now to avoid delays and to ensure funds are received by the deadline. If your investment adviser would like assistance with the annual renewal service, click here for more information on or to purchase RIA Compliance Consultants’ IARD Renewal Program and ADV Amendment Service.

Posted by Bryan Hill
Labels: Renewals