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2017 FINRA Renewals Deadline Approaching

All registered investment advisers are required to annually renew their FINRA, other self-regulatory organization and state/jurisdiction registrations through the annual Renewal Program. The 2017 renewal statements will be available on the IARD/CRD system on November 14, 2016. Renewal statements contain information regarding state registration and notice filing fees. Please note that renewal fees are required to be available in your IARD/CRD account by December 16th, 2016. We recommend funding your IARD/CRD account by December 13th, 2016, as it typically takes 2-3 business days for payments to be credited to the account. Firms with sufficient monies in their Flex-Funding Account will have funds automatically transferred to their Renewal Account to cover total renewal fees owed. Once your renewal statement has been filed, your annual amendment to Form ADV will be due within 90 days after your fiscal year end.

If you have questions about this Alert, please contact Daniel G. Viola at 212.573.8038 or

Cheryl Spratt