{"id":997,"date":"2019-11-04T21:43:55","date_gmt":"2019-11-04T21:43:55","guid":{"rendered":"http:\/\/localhost\/?p=997"},"modified":"2019-11-04T21:43:55","modified_gmt":"2019-11-04T21:43:55","slug":"filing-deadlines-and-to-do-list-for-november-2019","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/filing-deadlines-and-to-do-list-for-november-2019\/","title":{"rendered":"Filing Deadlines and To-Do List for November 2019"},"content":{"rendered":"<p><a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopfensperger<\/a> from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.iard.com\/renewal-program\">Annual Renewal Program for\u00a0IARD System<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/about\/forms\/form13f.pdf\">Form 13F<\/a><\/li>\n<li><u>Blue\u00a0Sky Filings (Form D)<\/u><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/rules\/final\/2011\/ia-3308-formpf.pdf\">Form PF for Large Hedge Fund Advisers<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/members\/cta\/regulatory-obligations\/cta-reporting-requirements.html\">Form CTA-PR<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/electronic-filing-systems\/easyfile-pool-quarterly-reports.html\">Form CPO-PQR<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2019-10\/regulatory-notice-19-35.pdf\">FINRA 2020 Renewal Program Preparations<\/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\">Annu<\/a><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/11-46\">al Audit Reports for Fiscal Year-End September 30, 201<\/a>9<\/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\/filing-forms\">SIPC-3 Certification<\/a><\/li>\n<li><a href=\"https:\/\/www.sipc.org\/for-members\/filing-forms\">SIPC-6 Assessment<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos: Annual Renewal Program for\u00a0IARD System Form 13F Blue\u00a0Sky Filings (Form D) Form PF for Large Hedge Fund Advisers Form CTA-PR Form CPO-PQR FINRA 2020 Renewal Program Preparations Rule 17a-5 Monthly and Fifth FOCUS Part II\/IIA Filings Annual Audit Reports for Fiscal Year-End &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/11\/04\/filing-deadlines-and-to-do-list-for-november-2019\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Filing Deadlines and To-Do List for November 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":[23,21,22],"tags":[],"class_list":["post-997","post","type-post","status-publish","format-standard","hentry","category-compliance","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\/997","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=997"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/997\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=997"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=997"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=997"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}