November 23, 2015

Don't forget about your annual renewal fees!

We have officially entered the annual renewal season for 2016! As we prepare for the holidays, don't forget that you must submit payment for your firm's annual renewal fees. Failure to do so by the stated deadline will result in the termination of your RIA's registration.  You should have already received an email from FINRA in regards to your Preliminary Statement.  Your preparations should be underway now as the deadline for payments is December 18, 2015.  What do you need to do?  

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). 
If you are not an AdvisorAssist Compliance Client and are seeking assistance with the Annual Renewal process, please contact us at:

For more information, please see the IARD Renewal Program page:


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