Complete a thorough review of your current registration status. Here are a few questions to ask yourself:
- Based on your client growth, have you exceeded the de minimus threshold in additional state(s)?
- Are you currently registered in any states where you are now under the de minimus threshold?
- Are your IARs properly registered? Key Reminder: For SEC firms, some states do not require IAR registration if there is no place of business or under the de minimus threshold.
- Once you have confirmed your applicable registrations, make sure to validate the fees calculated by FINRA and transfer funds into your Renewal Account (IARD system).
For more information, please see the IARD Renewal Program page: http://www.iard.com/renewals.asp