The Preliminary Renewal Statement for an investment adviser firm must be paid, in full, by Monday, December 12, 2022. Depending on the method of payment, it may take at least two days for a payment to post to the IARD account. General Disclosure: The information contained in this sample calendar event is general in nature […]
The last day to submit registration filings (via IARD/CRD systems) prior to year-end is Thursday, December 22, 2022. After 11:00 p.m. ET, IARD/CRD systems are unavailable. General Disclosure: The information contained in this sample calendar event is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis […]
An investment adviser firm's Final Renewal Statement is available through the IARD on Monday, January 2, 2023. The FInal Renewal Statement reconciles what was charged on the Preliminary Renewal Statement with what is actually owed as the start of the new calendar year. The Final Renewal Statement confirms whether an investment adviser firm must pay […]
If an investment adviser firm owes additional fees on the Final Renewal Statement, the investment adviser firm must pay by the Final Renewal Statement’s due date (January 27, 2023). General Disclosure: The information contained in this sample calendar event is general in nature intended for educational purposes only and is not intended to be a […]
To the extent an investment adviser firm is required to file the Form 13F, the quarterly report for 4th calendar quarter of 2022 is due Tuesday, February 14, 2023. Rule 13f-1(a)(1) under the Securities Exchange Act requires an investment adviser to submit four Form 13F filings if it had discretion of $100 million or more […]
