Reminder: Renewal And State Notice Filings Due December 17

Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.

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Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.

United States Corporate/Commercial Law

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This is a reminder that all SEC-registered investment advisers and all FINRA-registered broker dealers must submit their renewal fees and state notice filings via the Investment Adviser Registration Depository (IARD)/Central Registration Depository (CRD) by December 17. Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.

If you have any questions or require further information, please do not hesitate to contact one of our experts.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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Chris Lombardy

Peter Wilson

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Reminder: Renewal And State Notice Filings Due December 17

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Corporate/Commercial Law

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United States