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News November 7, 2005 Issue

Key Dates in IARD Renewal Season

When it comes to IARD, the season of renewal isnt spring. Its fall.

Here are the key dates to watch for, as set out in the NASDs 2006 IARD Renewal Program bulletin:

November 21 Preliminary Renewal Statements will be available for viewing and printing.

December 14 due date for payment of the fees listed on the Preliminary Renewal Statement. Because NASD must receive payment by this date, electronically submitted payments must be submitted no later than 8:30 pm EST on December 12 to ensure they are posted by the 14th.

November 7 until December 21 the dates during which post-dated (to December 31) Form U-5s can be submitted (this allows departing IARs to continue working for their firm until the end of the year, but not be assessed 2006 renewal fees).

January 3 Final Renewal Statements will be available for viewing and printing.

February 3 due date for payment of any additional fees listed on the Final Renewal Statement. Its also the last day for reporting any discrepancies on the renewal reports to NASD.