Written by: Brian Young
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:
For more information, please see the IARD Renewal Program page: http://www.iard.com/renewals.asp