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.
Tag Archives: SEC Registered Firm
Deadline for Payment under Final Renewal Statement
November 20, 2022
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).
2023 Final Renewal Statement Available
November 19, 2022
An investment adviser firm’s Final Renewal Statement is available through the IARD on Monday, January 2, 2023.
Last Day to Make Filing in IARD/CRD
November 19, 2022
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.
2023 Preliminary Renewal Payment Deadline
November 19, 2022
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.
