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Open Categories Menu As we noted previously, registered investment advisory firms and firm representatives must renew their registration annually by paying a fee to FINRA. In November FINRA issued a Preliminary Renewal Statement for each registered IA firm which stated the amount of renewal fees which were due by December 13, 2010. While [...]
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Posts Tagged ‘ IARD renewal ’
13 January
Posted in
compliance, Investment Advisor
0
2011 Final Renewal Statement for Registered Investment Advisers
5 December
Posted in
Legal Resources
Registration Renewal For Brokers (IARD Notice)
It is that time of the year for registration renewals. Renewal notices for investment advisor registration renewal were sent out by many states this week. Additionally, brokers and brokerage firms will need to renew all of their registrations. The following is the registration renewal notice I recieved today. If your [...]
3 December
Posted in
Investment Advisor
California Investment Advisors Renewal Notice
I received this notice today from the California Department of Corporations. All California registered Investment Advisors should take note that IARD renewal fees are due by next Friday, December 12. If you are registered and need help with the renewal process, please contact us.
