{"id":1007,"date":"2019-12-03T21:38:53","date_gmt":"2019-12-03T21:38:53","guid":{"rendered":"http:\/\/localhost\/?p=1007"},"modified":"2019-12-03T21:38:53","modified_gmt":"2019-12-03T21:38:53","slug":"filing-deadlines-and-to-do-list-for-december-2019","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/filing-deadlines-and-to-do-list-for-december-2019\/","title":{"rendered":"Filing Deadlines and To-Do List for December 2019"},"content":{"rendered":"<p><a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopfensperger<\/a>\u00a0from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:<\/p>\n<ul>\n<li><u>Blue\u00a0Sky Filings (Form D)<\/u><\/li>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\">Annual Renewal Program for\u00a0IARD System<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/renewal\">2020 Preliminary Renewal Statement is due in full<\/a> on Monday, December 16, 2019.<\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/14-43\">Supplemental Inventory Schedule (\u201cSIS\u201d)<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/InterpretationsFOR\/p037776_0_0.pdf\">Statement Regarding Independent Public Accountant<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/focus\">Rule 17a-5 Monthly and Fifth FOCUS Part II\/IIA Filings<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/11-46\">Annual Audit Reports for Fiscal Year-End October 31, 2019<\/a>\u00a0<strong>\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/14-43\">Supplemental Inventory Schedule (\u201cSIS\u201d)<\/a><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/filing-forms\">SIPC-3 Certification<\/a>\u00a0<strong>\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/filing-forms\">SIPC-6 Assessment<\/a><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/filing-forms\">SIPC-7 Assessment<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Cari Hopfensperger\u00a0from Hardin Compliance Consulting LLC shares these important deadlines and to-dos: Blue\u00a0Sky Filings (Form D) Annual Renewal Program for\u00a0IARD System 2020 Preliminary Renewal Statement is due in full on Monday, December 16, 2019. Supplemental Inventory Schedule (\u201cSIS\u201d) Statement Regarding Independent Public Accountant Rule 17a-5 Monthly and Fifth FOCUS Part II\/IIA Filings Annual Audit Reports &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/12\/03\/filing-deadlines-and-to-do-list-for-december-2019\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Filing Deadlines and To-Do List for December 2019<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1007","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1007","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1007"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1007\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1007"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1007"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1007"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}