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2023 Final Renewal Statement Available

January 2

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 an additional amount, received a refund (i.e. credit) to its Flex-Funding Account or is Paid-in Full.

When reviewing the Final Renewal Statement, an investment adviser firm should confirm whether the renewal fees have been paid in full or whether additional funds are required to be paid.  The investment adviser firm should also confirm that the investment adviser firm and its investment adviser representatives are properly registered or noticed filed in the applicable jurisdictions.

If the Final Renewal Statement indicates “Failed to Renew”, an investment adviser firm will need to contact immediately each applicable state securities regulator to determine what will be required by the state securities regulator.

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.

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 of this topic. This sample compliance calendar event does not necessarily reflect the requirements of your investment adviser firm’s compliance manual. Securities regulations and corresponding deadlines are subject to change, and this calendar event may not reflect the most current requirements.  This calendar event does not create a consulting engagement with RIA Compliance Consultants, Inc. and is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details and the most current requirements about the topics referenced above.


January 2
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