From our friends at Hardin Compliance Consulting LLC, helpful guidance for broker dealers and RIAs, as they plan their return:

• Question & Answer Employer Guide: Return to the Work in the time of COVID-19 by Faegre Drinker.
• Making your Office Safe to Return after COVID-19 by Riia O’Donnell of Workest.
• Preparing for Reentry in the US by Goodwin Procter LLP.
• Reopening Your Doors – BakerHostetler’s Return to Work Toolkit

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