{"id":1223,"date":"2022-02-16T23:29:25","date_gmt":"2022-02-16T23:29:25","guid":{"rendered":"http:\/\/localhost\/?p=1223"},"modified":"2022-02-16T23:29:25","modified_gmt":"2022-02-16T23:29:25","slug":"to-do-checklists-for-the-month-of-march-2022","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/02\/16\/to-do-checklists-for-the-month-of-march-2022\/","title":{"rendered":"To Do Checklists for the Month of March 2022"},"content":{"rendered":"<p><strong>Investment Advisors<\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/guidance.shtml#form-adv\">Form ADV Annual Updating Amendment<\/a><\/li>\n<li><a href=\"https:\/\/www.iard.com\/fee_schedule\">IARD Fees<\/a><\/li>\n<li><a href=\"http:\/\/www.nasaa.org\/industry-resources\/investment-advisers\/investment-adviser-guide\/\">State Filings<\/a><\/li>\n<\/ul>\n<p><strong>Hedge\/Private Fund Advisors<\/strong><\/p>\n<ul>\n<li><a href=\"http:\/\/www.cftc.gov\/IndustryOversight\/Intermediaries\/CPOs\/cpoctaexemptionsexclusions\">Reaffirm CPO and CTA Exemptions<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2011\/ia-3308-formpf.pdf\">Initial Form PF<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/formpf.pdf\">Form PF for Large Hedge Fund Advisers<\/a><\/li>\n<li>Blue\u00a0Sky Filings (Form D)<\/li>\n<li><a href=\"https:\/\/www.sec.gov\/divisions\/investment\/iard\/iardfaq.shtml#exemptreportingadviser\">Exempt Reporting Advisers Form ADV Filing<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/members\/cpo\/regulatory-obligations\/cpo-reporting-requirements.html\">Annual Reports for 4.7 Exempt CPOs<\/a><\/li>\n<\/ul>\n<p><strong>Broker-Dealers<\/strong><\/p>\n<ul>\n<ul>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-111221\">Annual Reports for the Fiscal Year-End December 31st<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-111221\">Supplemental Inventory Schedule (\u201cSIS\u201d)<\/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.sipc.org\/for-members\/sipc-3\">SIPC-3 Certification of Exclusion from Membership<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/information-notice-111221\">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-111221\">Supplemental Inventory Schedule (\u201cSIS\u201d)<\/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\/sipc-3\">SIPC-3 Certification of Exclusion from Membership<\/a><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/filing-forms\">SIPC-7 Assessment<\/a><\/li>\n<\/ul>\n<\/ul>\n<p><strong>Registered Commodity Pool Operators<\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/www.nfa.futures.org\/faqs\/members\/CPOFormPQR.html\">Form CPO-PQR (All Schedules)<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/EasyFilePlus\/EFPTemplate.aspx?template=PQR\">CFTC Form CPO-PQR\u00a0<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/EasyFilePlus\/EFPTemplate.aspx?template=PQR\">CFTC Form CPO-PQR\u00a0<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/members\/cpo\/regulatory-obligations\/cpo-reporting-requirements.html\">CPO Members must distribute an Annual Report<\/a><\/li>\n<\/ul>\n<p><strong>Mutual Funds<\/strong><\/p>\n<ul>\n<li>Form N-PORT<\/li>\n<li>Form N-MFP<\/li>\n<li>Form N-CEN<\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.foreside.com\/blog\/regulatory-update-mid-february-2022\/\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Investment Advisors Form ADV Annual Updating Amendment IARD Fees State Filings Hedge\/Private Fund Advisors Reaffirm CPO and CTA Exemptions Initial Form PF Form PF for Large Hedge Fund Advisers Blue\u00a0Sky Filings (Form D) Exempt Reporting Advisers Form ADV Filing Annual Reports for 4.7 Exempt CPOs Broker-Dealers Annual Reports for the Fiscal Year-End December 31st Supplemental &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2022\/02\/16\/to-do-checklists-for-the-month-of-march-2022\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">To Do Checklists for the Month of March 2022<\/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-1223","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 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"Investment Advisors Form ADV Annual Updating Amendment IARD Fees State Filings Hedge\/Private Fund Advisors Reaffirm CPO and CTA Exemptions Initial Form PF Form PF for Large Hedge Fund Advisers Blue Sky Filings (Form D) Exempt Reporting Advisers Form ADV Filing Annual Reports for 4.7 Exempt CPOs Broker-Dealers Annual Reports for the Fiscal Year-End December 31st Supplemental\" \/>\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\/2022\/02\/16\/to-do-checklists-for-the-month-of-march-2022\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.10\" \/>\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=\"To Do Checklists for the Month of March 2022 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"Investment Advisors Form ADV Annual Updating Amendment IARD Fees State Filings Hedge\/Private Fund Advisors Reaffirm CPO and CTA Exemptions Initial 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