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IARD Renewals — Firm May Start to Submit 12/31/23 Post-Dated Form U5s

October 6, 2023

If your investment adviser firm has an investment adviser representative (“IAR”) which will not be renewing his or her license as an IAR with the firm for the subsequent calendar year, a firm may begin (10/6/2023) to submit the post-dated Forms U5, which must be dated 12/31/2023.

By filing a post-dated Form U5, an investment adviser firm is able to avoid paying the regulatory fee on the Final Renewal Statement. A post-dated Form U5 filing is only permitted during certain periods of the year. See the applicable renewal calendar (2024 Renewal Program Calendar) for current dates.

If the terminating investment adviser representative serves investment advisory clients, then the investment adviser should notify such clients of ther termination.

Related Resources

2024 IARD Renewal & Form ADV Annual Amendment Services

FAQs: An Investment Adviser Firm’s IARD Renewals

FAQs: Form U4

IARD – Annual IARD Renewal Tips Checklist

Recorded Webinar : Solutions and Answers to Form U4 and Form U5 Challenges

  • Included with Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium) via Knowledge Base
  • Available for an a la carte purchase through our Online Store

Rep Term – Checklist

  • Included with Annual Compliance Program (Silver, Gold, Platinum & Titanium) via Knowledge Base
  • Available for an a la carte purchase through our Online Store

Rep Term – Client Letter – Existing Rep Termination & New Successor Rep

  • Included with Annual Compliance Program (Platinum & Titanium) via Knowledge Base
  • Available for an a la carte purchase through our Online Store

Rep Term – Client Letter – Rep Starting New Firm, Temporary Dual Registration, No-Response Notice

  • Included with Annual Compliance Program (Platinum & Titanium) via Knowledge Base
  • Available for an a la carte purchase through our Online Store

Rep Term – Rep Letter – Notification of Termination

  • Included with Annual Compliance Program (Platinum & Titanium) via Knowledge Base
  • Available for an a la carte purchase through our Online Store

Correction on Form U5 Leads to SEC Action for Improper Performance Claims (2/15/2012)

Investment Advisor Representatives’ Duty to Update Form U4 (10/31/2006)

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 in your 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 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.

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Date:
October 6, 2023
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RIA Compliance Consultants, Inc.