State Notice Filings and IAR Registrations
November 10, 2025
SEC3 Compliance
All investment advisers registered with the SEC (“advisers”) are required to annually renew their state notice filings as well as state IAR and branch registrations through IARD. Advisers must meet these IARD renewal deadlines despite the government shutdown.
Preliminary renewal statements will be made available via IARD on November 10. Advisers should submit payments by December 3 to allow for processing by the December 8 deadline.
Advisers that fail to pay renewals by December 26 will not have their state notice filings renewed and will not be eligible to act as an adviser in those states as of January 1, 2026. Similarly, partial payments may result in a failure to renew across states. If an adviser fails to renew, they must contact each state directly for details regarding reinstatement.
Final renewal statements will be posted on the FINRA Gateway on January 2, 2026. The final statement will include any new charges that occurred after the preliminary statement. The deadline to pay the final renewal fees is January 23, 2026.
To learn more or schedule a review of your compliance program, contact info@sec3compliance.com
Need assistance with your compliance program? SEC’s team of experienced compliance professionals can help. For more information, please email us at info@sec3compliance.com, call (212) 706-4029 x 214, or visit our website at www.sec3compliance.com.
SEC3 provides links to other publicly available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance. The information in this e-newsletter is for general guidance only. It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind
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