Compliance Solutions for Investment Advisers

Annual Registration Renewal Starts Tomorrow

Tomorrow starts the registration renewal period. You need to log on to your IARD account and get a copy of your Preliminary Renewal Statement. Payment is due by December 13th, but we suggest paying well in advance.

You have your choice of one of the 3 following payment methods:

1.  E-BILL

E-Bill enables your firm to authorize electronic payment directly from its designated bank account.

If you want to pay using E-Bill enrollment is required. It is actually quite easy to sign up:

  • Go to the IARD web site (www.iard.com)
  • In the left hand column, select E-Bill
  • Enter you firm’s Username and Password
  • Follow the steps
  • Enter all required information

 ……………………………

 2. MAKING PAYMENT BY WIRE:

Instruct your IA firm’s bank to contact: “BNY Mellon Financial Corporation.”

Provide your bank with the following information to initiate a wire transfer:

        ABA Number:                               031 000 037

        Beneficiary:                                 FINRA

        FINRA Account Number:             8-234-353

        Reference Number:                     CRD #[insert CRD number]  “Renewal”

……………………………

3. MAKING PAYMENT BY CHECK:

Make the Check payable to FINRA.

In the Memo section please write: “CRD #[insert CRD number] “

Include a copy of the attached Preliminary Renewal Statement when you mail the check.

You have two options for mailing the check (please not that the addresses are different):

You can send it by REGULAR US MAIL

FINRA

P.O. Box 7777-9995

Philadelphia, PA 19175-0001

 

Or you can send it by OVERNIGHT DELIVERY:

 

FINRA

Attn: 9995

Pittsburgh, PA 15262

Phone number: (240) 386-4848

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