Compliance Solutions for Investment Advisers

Happy New Year

Best wishes to all our readers for a Happy and Healthy and Prosperous 2012.

Remember to log on to your IARD account on January 3rd to obtain your firm’s Final Renewal Statement. Firm’s may have incurred additional fees between the time they paid their renewal fees and the beginning of the new year. For example, if your firm registered an investment adviser representative during this time or notice filed in a state, that would result in additional renewal fees.

line