{"id":1192,"date":"2021-12-15T20:37:56","date_gmt":"2021-12-15T20:37:56","guid":{"rendered":"http:\/\/localhost\/?p=1192"},"modified":"2021-12-15T20:37:56","modified_gmt":"2021-12-15T20:37:56","slug":"filing-deadlines-and-to-do-list-for-december-2021","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/filing-deadlines-and-to-do-list-for-december-2021\/","title":{"rendered":"Filing Deadlines and To-Do List for December 2021"},"content":{"rendered":"<ul>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\">Annual Renewal Program for IARD System<\/a><\/li>\n<li>Blue\u00a0Sky Filings (Form D. Advisors to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary.\u00a0 Generally, most states require a notice filing (\u201cblue sky filing\u201d) within 15 days of the first sale of interests in a fund, but state laws vary.<\/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\/renewal\">2022 Preliminary Renewal Statement is due in full.<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-112320\">Rule 17a-5 Monthly and Fifth FOCUS Part II\/IIA Filings<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-112320\">Supplemental Inventory Schedule (\u201cSIS\u201d)<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-112320\">Annual Reports for Fiscal Year-End October 31, 2021<\/a><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/sipc-3\">SIPC-3 Certification of Exclusion from Membership<\/a><\/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<li><a href=\"https:\/\/www.sec.gov\/files\/formn-mfp.pdf\">Form N-MFP<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.foreside.com\/blog\/regulatory-update-december-2021\/\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Annual Renewal Program for IARD System Blue\u00a0Sky Filings (Form D. Advisors to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary.\u00a0 Generally, most states require a notice filing (\u201cblue sky filing\u201d) within 15 days of the first sale of interests in a fund, but state laws &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/filing-deadlines-and-to-do-list-for-december-2021\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Filing Deadlines and To-Do List for December 2021<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":90,"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":[23,21,22],"tags":[],"class_list":["post-1192","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"Annual Renewal Program for IARD System Blue Sky Filings (Form D. Advisors to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary. Generally, most states require a notice filing (\u201cblue sky filing\u201d) within 15 days of the first sale of interests in a fund, but state laws\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Cari Hopfensperger\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/filing-deadlines-and-to-do-list-for-december-2021\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.9\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"Filing Deadlines and To-Do List for December 2021 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"Annual Renewal Program for IARD System Blue Sky Filings (Form D. Advisors to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary. Generally, most states require a notice filing (\u201cblue sky filing\u201d) within 15 days of the first sale of interests in a fund, but state laws\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2021\/12\/15\/filing-deadlines-and-to-do-list-for-december-2021\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-12-15T20:37:56+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-12-15T20:37:56+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Filing Deadlines and To-Do List for December 2021 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"Annual Renewal Program for IARD System Blue Sky Filings (Form D. Advisors to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary. 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