As the holiday season approaches, so does the deadline for annual renewals. Annual Renewals are due December 13, 2012. To ensure that your renewal process is completed in timely and accurate matter, we recommend that you review current registrations for both your firm and registered persons of your firm to determine that they are up to date and accurate so that your fees are properly assessed by the regulators on your Preliminary Renewal Statement. Important deadlines are as follows:
- NOVEMBER 12, 2012: Preliminary Renewal Statements are available via IARD/WebCRD; we recommend you review your statement for accuracy.
- DECEMBER 10, 2012: Renewal payments submitted electronically should be made to ensure that payment is posted by the December 13th payment deadline.
- DECEMBER 13, 2012: The total amount due on your firm’s Preliminary Renewal Statement should be paid and received by IARD/WebCRD.
- DECEMBER 21, 2012: Year-end form filings through IARD/WebCRD must be submitted by 6pm eastern time.
- JANUARY 2, 2013: Final Renewal Statements are available via IARD/WebCRD; we recommend that you retain this statement for your records and review registration statuses for your firm, branches and registered persons to ensure all registrations are accurate.
- FEBRUARY 1, 2013: Any amount due according to your Final Renewal Statement should be paid and received by IARD/WebCRD.
FINRA provides a handy 2013 IARD Renewal Program Checklist. For a copy, click here.
For the complete 2013 Renewal Program Calendar provided by FINRA, click here.
If you have any questions or would like Red Oak to assist you in completing your annual renewal, we are here to help. We can provide guidance on all of your compliance needs. Please contact us for further information.
About Red Oak Compliance Solutions
Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.