It Is Time to Comply with the 2014 IARD Renewal Program

This is a good time for IAR firms to review the registration status of all of their representatives. Firms should have already made preliminary renewal payments out of their Renewal Accounts. FINRA's Renewal Program facilitates the renewal of registration/notice filings with participating jurisdictions. The program does not, however, assist SEC registered IA firms.

December 26th was the last day to submit filings before the end of 2013. Web CRD and IARD will be up and accessible again on the morning of January 2^nd.  Final Renewal Statements are due January 10^th.

Representatives should check in with their firm to make sure renewals have been filed in each state they have or anticipate soliciting new clients in 2014. IAR registration staff should be familiar with FINRA's Renewal Program Calendar and Bulletin.