Deadline for Receipt of Preliminary Renewal Statement Payments Quickly Approaching

December 08, 2019

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The deadline for investment adviser firms to submit their Preliminary Renewal Statement payment is quickly approaching. FINRA must be in receipt of an investment adviser firm’s full payment listed on the Preliminary Renewal Statement by December 16, 2019. Investment adviser firms with sufficient funds in their IARD Flex-Funding Account to cover the Preliminary Renewal Statement payment will have funds automatically transferred beginning on December 16, 2019 to the IARD Renewal Account to cover total renewal fees owed. Automatic transfers will be conducted every day after December 16, 2019 until the WEB CRD/IARD shuts down for year-end processing on Friday, December 27, 2019. Investment adviser firms that choose to mail in their renewal payments are advised to do so now to avoid delays and to ensure funds are received by the deadline.

For more details about an investment adviser firm’s renewal of registration and notice filings via the IARD system, please visit our IARD Renewals FAQs webpage at .

If your investment adviser firm would like assistance with the IARD renewal process, click here for more information on or to purchase RIA Compliance Consultants’ IARD Renewal Program and ADV Amendment Services. If you have questions regarding these or any of the other services offered by RIA Compliance Consultants, please contact RIA Compliance Consultants, Inc. at 877-345-4034 extension 115.

Posted by Bryan Hill
Labels: IARD, Renewals