The IARD Renewal Program facilitates the annual renewal of investment adviser (IA) firms and their IA representatives' (RAs) registrations with jurisdictions/states. Firms may retrieve their online Final Renewal Statement in IARD on or after January 4, 2010. These statements reflect the final registration statuses of IA firms and representatives as of December 31, 2009. Any adjustments as a result of registration approvals or terminations subsequent to the Preliminary Renewal Statement have been made in this final reconciled statement. If your firm’s statement shows an amount due, FINRA must receive full payment of your firm’s Final Renewal Statement by February 5, 2010.

The following links are related to the IARD Renewal Program:

• 2010 IARD Renewal Program Bulletin (PDF 103 KB)



• 2010 IARD Renewal Program Calendar (PDF 31 KB)



• 2010 IARD Renewal Program Checklist (PDF 24 KB)



• IARD Renewal: Payment Methods and Addresses



• IARD System Frequently Asked Questions – Renewal Program (PDF 40 KB)



• Instructions for Requesting Renewal Refunds



• IA Firm State Registration/Notice Filing Fee Schedule (PDF 83 KB)



• IA Representative State Registration Filing Fee Schedule (PDF 67 KB)



• How To Download A Report From IARD

Other key dates and information about the 2010 IARD Renewal Program:

• Automatic Daily-to-Renewal Account Transfer: To facilitate payment of renewal fees, FINRA will automatically transfer funds from a firm’s Daily Account to its Renewal Account on February 5, the Final Renewal Statement payment deadline. FINRA will transfer funds only if a firm has sufficient funds available in its Daily Account on February 5 to cover the amount due. Please Note: If a firm does not want this automatic transfer of funds, the firm should ensure that its payment is received in its Renewal Account by the February 5 deadline. Separately, if a firm wishes to transfer funds between affiliated firms, the firm should contact the IARD Call Center at (240) 386-4848 for further instructions prior to the renewal deadline.

(As of: 1/22/2010)