Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:
- Blue Sky Filings (Form D)
- Annual Renewal Program for IARD System
- 2020 Preliminary Renewal Statement is due in full on Monday, December 16, 2019.
- Supplemental Inventory Schedule (“SIS”)
- Statement Regarding Independent Public Accountant
- Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings
- Annual Audit Reports for Fiscal Year-End October 31, 2019
- Supplemental Inventory Schedule (“SIS”)
- SIPC-3 Certification
- SIPC-6 Assessment
- SIPC-7 Assessment
