Internal Deadline for Initiating Payment to FINRA for Preliminary Renewal Statement

An investment adviser should initiate electronic payment (e.g., e-Bill, wire transfer) to FINRA for the Preliminary Renewal Statement by no later than Wednesday, December 6, 2023.  Depending on the method of payment, it may take at least two days for a payment to post to the IARD account.  The Preliminary Renewal Statement for an investment adviser firm must be paid, in full, by Monday, December 11, 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 comprehensive analysis of this topic. 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.