Renewals-Ongoing Compliance RIA firms

Renewals-Ongoing Compliance RIA firms. Time has passed quickly in 2017 and as we enter the fourth quarter, Renewals-ongoing compliance RIA firms, is upon us again!

Registered Investment Advisors, both state and federally registered, are required every year during the fourth quarter to pay the firms FINRA Renewal fees in order to maintain the registration in the upcoming year.  That is, both the registration of your investment advisory firm and that of your Investment Advisor Representatives (IARs).

Not paying the FINRA Renewal fees for 2018 timely will result in your investment advisor firm and IARs not being properly registered for 2018.  No one wants to face going through the registration process again so be sure you timely pay your FINRA Renewals for 2018!

Click here for the important timeline for payment.

If you need assistance with the Renewal process, contact Registered Advisor Services today for a free consultation!