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Reminder: 2012 IARD Account Renewal obligations for investment advisers

Written by Jay Gould, Ildiko Duckor and Michael Wu

An investment adviser must ensure that its IARD account is adequately funded to cover payment of all applicable registration renewal fees and notice filing fees.  Beginning November 14, 2011, Preliminary Renewal Statements (“PRS”), which list an adviser’s renewal fee amount, are available for printing through the IARD system.  By December 9, 2011 (Friday), an investment adviser should have submitted to FINRA through the IARD system, its preliminary renewal fee.  Any additional fees that were not included in the PRS will show in the Final Renewal Statements which are available for printing beginning January 3, 2012.  All final renewal fees should be submitted to FINRA through the IARD system by February 3, 2012.   Please note that all renewal fees must be submitted for deposit to an adviser’s IARD “Renewal” Account.

For more information about the 2012 IARD Account Renewal Program including information on IARD’s Renewal Payment Options and Addresses, please follow this link:

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