The IARD Renewal Program, which facilitates the annual renewal of investment adviser (IA) firms and their IA representatives' (RAs) registrations with jurisdictions/states, concluded on February 5, 2010. Full payment of each firm’s Final Renewal Statement was due to FINRA by February 5, 2010. Failure to pay these fees may result in the appropriate regulator taking action, up to and including canceling a firm’s registration.

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

(As of: 2/16/2010)