November 1, 2021

Form ADV Annual Updating Amendment is Right Around the Corner. It’s Time for 2022 IARD Renewal.

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Helpful Information for a Successful IARD Renewal

Retrieve (and Pay) Your Preliminary Statement
To retrieve and print your Preliminary Statement, log in and click the View Statement button in the Renewal Account section of E-Bill. Many firms also find it convenient to pay the firm’s Renewal Statement at this time.

Pay Renewal Fees in Full
Full payment of registration renewal fees assessed on this statement is due in your firm’s Flex-Funding or Renewal Account by Dec. 13, 2021. Complete information on paying your firm’s registration renewal assessment is available on the IARD Accounting page.

The last day to submit form filings or renewal payment prior to year-end is Dec. 26, 2021, from 10 a.m. to 6 p.m. Eastern Time. Failure to submit the necessary renewal payment by this day may result in your firm failing to renew for 2022 and result in you not being able to conduct business on January 1, 2022.

What Is the IARD Renewal Program?
The IARD Renewal Program facilitates the annual renewal of jurisdiction registrations for investment adviser (IA) firms, their IA representatives (RAs)and branches. As the operator of IARD, FINRA collects the renewal fees of IA firms, branches and individuals on behalf of the jurisdictions.

Important note to SEC-registered IA firms: Please note that the IARD Renewal Program does not include fees associated with your firm's SEC registration or ERA status. Annual SEC fees are assessed upon submission of your firm’s Form ADV Annual Updating Amendment.

Renewal resources

How Coast to Coast Compliance Can Help.

If you have questions about your IARD Renewal or the upcoming required Form ADV Annual Updating Amendment, contact us today.