Search
  • TITAN

2021 IARD and FINRA Renewal Programs

November 9th | 2020


SEC-registered investment advisers (“advisers”) must renew their state notice filings each year through the IARD Renewal Program. Preliminary renewal statements for the 2021 IARD Renewal Program will be generated on November 16, 2020, and made available on the IARD system. The deadline for paying renewal fees is December 14, 2020. Keep in mind that advisers who fail to pay by the deadline will not have their state notice filings renewed, which means they will not be eligible to conduct business in those states as of January 1, 2021.


On January 2, 2021, all advisers will receive a final renewal statement generated as of December 31, 2019. Advisers that have more or fewer state notice filings than they had at the time of their preliminary renewal statements will receive final renewal statements that reflect additional fees or a credit due, respectively. Any additional renewal fees must be paid by January 22, 2021.


Similarly, FINRA registered broker-dealers must renew their BD registration through the Firm Gateway (CRD). Renewal statements reflect any applicable renewal fees assessed for BD and IA firms, branches and individuals with each SRO and/or jurisdiction. FINRA members should receive their Preliminary Statements via E-Bill on November 16, and full payment of Preliminary Statements are due December 14, 2020. Final statements will be available on January 2, and full payment is due on January 22, 2021.

34 views0 comments