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.
Review Preliminary Renewal Statement
November 10, 2023
The Preliminary Renewal Statement should now be available in the investment adviser firm’s IARD account.
Deadline for Payment of Final IARD Renewal Statement
November 10, 2023
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.
Final IARD Renewal Statement Is Available
November 10, 2023
An investment adviser firm’s Final Renewal Statement is available on the FINRA Gateway.
Last Day in CY23 to Make IARD/CRD Filing
November 10, 2023
The last day to submit registration filings (via IARD/CRD systems) prior to year-end is Tuesday, December 26, 2023. After 6:00 p.m. ET, IARD/CRD systems are unavailable.
Deadline for Payment of 2024 Preliminary Renewal Statement
November 10, 2023
The Preliminary Renewal Statement for an investment adviser firm must be paid, in full, by Monday, December 11, 2023. Depending on the method of payment, it may take at least two days for a payment to post to the IARD account. RCC recommends submitting payment to FINRA by no later than Wednesday, December 6, 2023.
