RIA Registration Renewal Season. As we approach the fourth quarter of 2018, the 2019 RIA Registration Renewal Season comes into focus. It is an important time of year for registered investment advisors to review your registrations. That is, for both your firm and your Investment Advisor Representatives (IARs). It is also important for federally registered investment advisors to confirm your notice filings.
Every year, FINRA publishes a Renewal Program Calendar with important dates for firms to pay upcoming RIA Registration Renewal Season Fees. Paying this fee keeps both the investment advisor firm and Investment Advisor Representatives (IARs) registered in the upcoming year.
Important Dates
This year, the Preliminary Renewal Statements will be prepared and ready for download on Monday, November 12, 2018, with FULL payment due by Monday, December 17, 2018.
Begin the review process today! Complete the review by November 1, 2018 and confirm you are only paying for RIA Renewal Registration Fees where your firm and Investment Advisor Representatives (IARs) need to be registered.
Be proactive! Begin your review today and let Registered Advisor Services assist with this process.
