investment adviser annual renewals

California DBO Posts 2020 Renewal Program Calendar for Investment Advisers

The following is a list of some of the upcoming dates regarding annual renewals for investment advisers:

  • Monday 11/11/19 – PRELIMINARY Renewal Statements are available through E-Bill on FINRA – Annual Renewal page.

  • Monday 12/1/19 – DBO Reminder Email will be sent to all Licensees to renew their license for the calendar year 2020. Licensees should ensure they have an active designated email address on file.

  • Monday 12/16/19 – RENEWAL PAYMENT DUE DATE. This is the DEADLINE for receipt of Preliminary Renewal Statement payments. Review the Renewal Program Payment Options for detailed information. FINRA recommends using E-Bill to pay your Preliminary Statement. If you use other means, submit your payment with additional time to sufficiently allow for mail delivery and/or payment processing to post to your Renewal Account by the deadline. FINRA-registered firms that do not have payment posted by the deadline may be assessed a Renewal Late Fee.

  • Thursday 12/26/19Last Day to submit form filings prior to year-end. Web CRD and IARD are available form 5 AM until 6 PM Eastern Time (ET).

  • Friday 12/27/19 – Web CRD and IARD are unavailable due to FINRA statement and renewals processing.

  • Saturday 12/28/19 – 12/31/19 – Web CRD and IARD are available for QUERY-only and the creation of “Pending” filings.