The IARD Renewal Program facilitates the annual renewal of investment adviser (IA) firms and their IA representatives' (RAs) registrations with jurisdictions/states. Preliminary Renewal Statements and reports for the 2011 Renewal Program will be available beginning Monday, November 15, 2010. FINRA must receive full payment of Preliminary Renewal Statements by the payment due date Monday, December 13, 2010.

The following links are related to the IARD Renewal Program:

• 2011 IARD Renewal Program Calendar (PDF 25 KB)



• IARD Renewal Program Payment Options and Addresses



• IARD System Frequently Asked Questions – Renewal Program



• 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 2011 IARD Renewal Program:

• Post-Dated Filings: Firms can submit post-dated Forms U5 and BR Closing/Withdrawal beginning on October 25, 2010. The deadline for submitting post-dated forms prior to year end is 6:00 p.m., Eastern Time (ET), December 23, 2010. All post-dated forms must be dated December 31, 2010.


• Transition Filing Functionality: All Transition Filing functionality will shutdown at 11:00 p.m., ET, on November 5, 2010, and will not be available again until 7 a.m., ET, January 3, 2011.



• Year-End Schedule: IARD and Web CRD will be unavailable for form filing processing from December 24, 2010 through December 27, 2010, due to the holiday schedule and year-end Renewal processing. During the December 28 through December 31 period, firms may Query the system and create ‘Pending’ filings but not submit them until on or after January 3, 2011. IARD and Web CRD will be unavailable January 1 and 2, 2011 due to the holiday and weekend schedule.