This is a final reminder that full payment of your Preliminary Renewal Statement must post to your firm's IARD Renewal Account by December 12, 2011.
An investment adviser (IA) firm that does not pay its Preliminary Renewal Statement in full will have all of its representatives' (RAs) registrations with jurisdictions terminated effective December 31, 2011. Additionally, firms that fail to renew may be subject to fines levied by jurisdictions as well as re-registration requirements.
If you are an Ongoing Compliance Client of AdvisorAssist, you received an email from us with instructions. Otherwise, you can retrieve and print your statement by logging onto IARD and selecting the Renewal Statement link under the Accounting section of the site map. If you have not logged onto IARD in the last 120 days, your password has expired and you will need to select the Forgot Password? link on the left side of the login screen to have a new password emailed to you.
Detailed renewal payment options and instructions are available on the IARD website. Please note: If you recently submitted your payment, check your firm's Renewal Account to ensure that the payment was received and processed.
For complete information, visit the 2012 IARD Renewal Program Web page.
If you need assistance, please contact AdvisorAssist Support at Support@AdvisorAssist.com.
December 9, 2011
10:05 AM Christopher Winn No comments