As of Monday, November 11, 2024, your investment adviser firm can access, via its IARD account, its Preliminary Renewal Statement for the upcoming year. Investment adviser firms are assessed individual registration fees based on the state(s) that the firm is notice filed or registered in and the number of investment adviser representatives and their approved registration statuses. The amount reflected in the Preliminary Renewal Statement is the amount of renewal fees investment advisors must pay in order to maintain active registration for the firm and its investment adviser representatives.
Tag Archives: IARD
Preliminary Renewal Statements Available Monday
November 08, 2024
State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to Regulator
November 15, 2023
Along with paying annual renewals via IARD system and updating your Form ADV Annual Amendment, it’s important to remember that many state securities regulators also require a state registered investment adviser firm to submit an annual financial statement and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if material changes) directly to the state securities regulator (outside of the IARD/CRD system).
Understanding Nebraska’s Annual Reporting Requirements for State-Registered Investment Advisers
November 14, 2023
For investment adviser firms which are state registered with Nebraska, it’s crucial to be aware that there are certain additional documents which must be submitted directly (via a ShareFile link) to the Nebraska Securities Bureau in addition to and separate from the paying the regulatory fees associated with annual renewals and filing the Form ADV Annual Amendment via the IARD (“Investment Adviser Registration Depository”) system.
Navigating the Preliminary Renewal Statement for Investment Advisers
November 11, 2023
Understanding and Managing Your Firm’s Preliminary Renewal Statement
As we approach the end of the year, it is crucial for investment adviser firms to review their 2024 Preliminary Renewal Statements, which are now accessible through their IARD accounts. This statement is an overview of the firm’s current registration status and the associated renewal fees. Let us delve into the specifics of this renewal statement and its implications for your investment adviser firm.
Investment adviser firms can now access to their Preliminary Renewal Statement for 2024 through their IARD (Investment Adviser Registration Depository) accounts.
2023 Preliminary Renewal Statements Available Monday
November 02, 2022
Starting Monday, November 7, 2022, a registered investment adviser firm can access, via its IARD account, its Preliminary Renewal Statement for 2023 renewals. The Preliminary Renewal Statement must be paid, in full, by Monday, December 12, 2022. Depending on your method of payment, it may take at least two days for a payment to post to the IARD account. Because of this, your firm’s payment should arrive at FINRA no later than Wednesday, December 7, 2022, to ensure that funds are posted to your firm’s IARD account by December 12, 2022.
Deadline for Receipt of Preliminary Renewal Statement Payments Quickly Approaching
December 02, 2021
The deadline for investment advisers to submit their Preliminary Renewal Statement payment is quickly approaching. FINRA must be in receipt of the full payment listed on the Preliminary Renewal Statement by December 13, 2021. Investment advisers with sufficient funds in their Flex-Funding Account to cover the Preliminary Renewal Statement payment will have funds automatically transferred beginning on December 13, 2021 to the Renewal Account to cover total renewal fees owed. Automatic transfers will be conducted every day after December 13, 2021 until the WEB CRD/IARD shuts down for year-end processing on December 27, 2021. Investment advisers that choose to mail in their payments are advised to do so now to avoid delays and to ensure funds are received by the deadline.
The Securities Bureau of Nebraska Department of Banking and Finance has issued its 2022 renewal notice for state-registered investment adviser firms and investment adviser representatives.
