What Deadlines Are Required for Filing with the SEC?

By: Daniel A. Perry

If you are an adviser who registers with the SEC, there are time-sensitive deadlines in which you will need to pay attention. In addition, there are deadlines for state securities division registration that in which you will need to pay attention.

An adviser is required to file their annual Form ADV Annual Updating Amendment within 90 days of the end of the adviser’s fiscal year. Therefore, if the adviser’s fiscal year ends on December 31st, then the adviser will be required to file their Form ADV Annual Updating Amendment no later than March 31st.

It is important to pay attention to these filing deadlines as strict penalties can apply for failure to follow registration and compliance requirements. The positive aspect is that the Investment Adviser Registration Depository (IARD) system, which is used for annual filing requirements, is online for the convenience and ease of advisers to fulfill their annual reporting and registration requirements.

As you can see, the rules and compliance requirements are complex and can overlap. Many of our clients find it beneficial to hire our office as their General Compliance Counsel.

For more information:

If you have a legal compliance question regarding your investment adviser business or you are interested in retaining our office as your General Compliance Counsel, please contact our office at (513) 241-0400 or visit our website to schedule an initial consultation.