Now that renewal season is over, can you confirm your firm and its advisor representatives were properly renewed for 2007? It seems like every year there are always a handful of firms that fail to submit renewal fees through the IARD system in a timely fashion. Therefore, even if you think the renewal payment was sent in time, please make sure your firm retrieves the Final Renewal Statement and confirms it is renewed from 2007. The Final Renewal Statement will indicate one of the following.
Category Archives: Renewals
Final Renewal Statements and Web CRD/IARD Functionality
January 02, 2006
Beginning Tuesday, January 3, 2006 advisor firms will be able to retrieve their Final Renewal Statements via the Web CRD/IARD system. It is important that all advisor firms review their Final Renewal Statement to ensure its accuracy. The Final Renewal Statement will indicate one of three things.
Preliminary Renewal Statement Deadline and IARD/CRD System Shutdown
December 08, 2005
Monday, December 12 is the last day to submit payment to your IARD Renewal Account in order to ensure the necessary fees are received by the NASD and posted to your investment advisor firm’s account by Wednesday, December 14, the final deadline to have preliminary renewal fees paid.
Preliminary IARD Renewal Statements
November 22, 2005
Beginning Monday, November 21, 2005, investment advisor firms can access their 2006 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Wednesday, December 14, 2005. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Monday, December 12, 2005, to ensure the money is posted to your IARD account by the 14th.
