Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:
- Annual Renewal Program for IARD System
- Form 13F
- Blue Sky Filings (Form D)
- Form PF for Large Hedge Fund Advisers
- Form CTA-PR
- Form CPO-PQR
- FINRA 2020 Renewal Program Preparations
- Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings
- Annual Audit Reports for Fiscal Year-End September 30, 2019
- SIPC-7 Assessment
- SIPC-3 Certification
- SIPC-6 Assessment
