Monday, October 13, 2014

Ready, Set, Renewals

Hello Advisors, it's about that time of year again for your advisory firm's Annual Renewal ADV filing!

To help get your firm prepared for the renewal season please view the 2015 Renewal Program Calendar where FINRA notes key dates regarding the Renewal Process. Key dates to note include:

  • When your Renewal Fee Statements will become available: November 10, 2014
  • When your Preliminary Renewal Statement Payments are due: December 12, 2014
  • When FINRA will automatically transfer funds from your Flex-Funding Account to cover your renweal balance: December 15, 2014
  • When final Renewal Fee Statement payments are due: January 15, 2014

On November 10th, 2014 AdvisorAssist compliance clients will receive an email with your firm's Preliminary Renewal Fee Statement to help ensure a smooth transition into 2015.

Click here for the full 2015 Renewal Program Calendar:

If you have any questions please let us know at


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