IAR CE deadline: December 31. 84 days left in adopting states. Check what you owe

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AdvisorIQ

Calendar

Dates that matter

Filing and CE deadlines for advisors, each with the rule that sets the date and its official source, plus industry events from the organizers' own pages.

As of Oct 8, 2026, AdvisorIQ lists 17 upcoming compliance deadlines through Dec 31, 2027, the next being Form 13F, Q3 2026 holdings, due Nov 16, 2026, plus 18 industry events.

Compliance deadlines

Each date shows the rule that sets it and the official source we checked it against. Dates that fall on a weekend or holiday are moved only where the rule says so.

  1. Nov 16Mon, 2026

    Form 13F, Q3 2026 holdings

    Institutional investment managers that meet the $100 million threshold in Section 13(f) securities

    How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after September 30 is Saturday, November 14, 2026; when the deadline falls on a weekend or holiday the filing is due the next business day, so Monday, November 16. The SEC's Form 13F FAQ lists this date.

    Source: sec.gov, checked Oct 5, 2026. Due in 39 days.

  2. Dec 7Mon, 2026

    CRD/IARD renewal: full payment due for 2027

    Broker-dealers and investment adviser firms that renew registrations through FINRA's CRD or IARD, including state-registered advisers and SEC-registered advisers with state notice filings

    How the date is set: Set each year by FINRA's Renewal Program. For 2027 renewals, Preliminary Statements are available November 9, 2026 and payment is due on or before December 7, 2026. Final Statements follow on January 2, 2027.

    Source: iard.com, checked Oct 5, 2026. Due in 60 days.

  3. Dec 27Sun, 2026

    CRD/IARD year-end filing deadline

    Broker-dealers and investment adviser firms that file registration forms through CRD or IARD

    How the date is set: Set each year by FINRA's Renewal Program. The last day to submit form filings for 2026 is December 27, 2026 at 6 p.m. ET, when CRD/IARD shuts down for the year. FINRA and IARD both list this date, which is a Sunday.

    Source: iard.com, checked Oct 5, 2026. Due in 80 days.

  4. Dec 27Sun, 2026

    IAR CE: last CRD processing for 2026 renewals

    IARs in IAR CE states who are behind on CE, above all anyone who also missed the 2025 requirement

    How the date is set: Set for 2026 in NASAA's year-end memo of September 14, 2026: CRD stops processing course rosters for 2026 renewals at 4:00 PM Eastern on December 27. An IAR in CE Inactive status at that moment (deficient for both 2025 and 2026) fails to renew for 2027. NASAA Learning courses must be finished by midnight December 22 to be included.

    Source: nasaa.org, checked Oct 5, 2026. Due in 80 days. More on this

  5. Dec 31Thu, 2026

    FINRA CE Regulatory Element, 2026

    FINRA-registered representatives and principals, for each registration held

    How the date is set: Annually by December 31 (FINRA Rule 1240(a)). Someone registered for the first time during a year has until December 31 of the following year. Missing it makes the registration inactive until the Regulatory Element is complete.

    Source: finra.org, checked Oct 5, 2026. Due in 84 days.

  6. Dec 31Thu, 2026

    IAR CE, 2026 credits

    Investment adviser representatives registered in a state that has adopted NASAA's IAR CE model rule

    How the date is set: Each calendar year, due December 31. NASAA: courses must be reflected on the IAR CE transcript in CRD by the end of each calendar year. Applies only in adopting states.

    Source: nasaa.org, checked Oct 5, 2026. Due in 84 days. More on this

  7. Feb 16Tue, 2027

    Form 13F, Q4 2026 holdings (year-end report)

    Institutional investment managers that meet the $100 million threshold in Section 13(f) securities

    How the date is set: Within 45 days after the end of the calendar year (Rule 13f-1). The 45th day is Sunday, February 14, 2027, and Monday, February 15 is Washington's Birthday, a federal holiday, so the filing is due Tuesday, February 16. The SEC's Form 13F FAQ lists this date.

    Source: sec.gov, checked Oct 5, 2026. Due in 131 days.

  8. Mar 31Wed, 2027

    Form ADV annual updating amendment

    Investment adviser firms registered with the SEC or a state, and exempt reporting advisers, with a December 31 fiscal year end

    How the date is set: Within 90 days after the end of the firm's fiscal year (Form ADV General Instruction 4; SEC Rule 204-1). This date assumes a December 31 fiscal year end, the most common; a different fiscal year end moves it. March 31, 2027 is a Wednesday, so no weekend rule applies.

    Source: sec.gov, checked Oct 5, 2026. Due in 174 days.

  9. Apr 30Fri, 2027

    Annual brochure delivery to clients

    SEC-registered investment advisers with a December 31 fiscal year end whose brochure changed materially since the last annual amendment

    How the date is set: Within 120 days after the end of the fiscal year, deliver to each client, free of charge, the current brochure or a summary of material changes that offers it (Rule 204-3(b)(2)). Required only if there were material changes. Assumes a December 31 fiscal year end. April 30, 2027 is a Friday.

    Source: ecfr.gov, checked Oct 5, 2026. Due in 204 days.

  10. Apr 30Fri, 2027

    Form PF annual update

    SEC-registered private fund advisers that file Form PF annually (every filer except large hedge fund advisers and large liquidity fund advisers, which file quarterly), with a December 31 fiscal year end

    How the date is set: Within 120 calendar days after the end of the fiscal year (Form PF Instruction 9). Assumes a December 31 fiscal year end. April 30, 2027 is a Friday.

    Source: sec.gov, checked Oct 5, 2026. Due in 204 days.

  11. May 17Mon, 2027

    Form 13F, Q1 2027 holdings

    Institutional investment managers that meet the $100 million threshold in Section 13(f) securities

    How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after March 31 is Saturday, May 15, 2027, so the filing is due the next business day, Monday, May 17. The SEC's Form 13F FAQ lists this date.

    Source: sec.gov, checked Oct 5, 2026. Due in 221 days.

  12. Jul 1Thu, 2027

    Form PF: 2024 amendments take effect

    SEC-registered advisers that file Form PF

    How the date is set: A compliance date set by SEC release. Release IA-6992 (August 31, 2026) moved the compliance date for the Form PF amendments adopted February 8, 2024 from October 1, 2026 to July 1, 2027. The date has been extended several times; check for further changes.

    Source: sec.gov, checked Oct 5, 2026. Due in 266 days.

  13. Aug 16Mon, 2027

    Form 13F, Q2 2027 holdings

    Institutional investment managers that meet the $100 million threshold in Section 13(f) securities

    How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after June 30 is Saturday, August 14, 2027, so the filing is due the next business day, Monday, August 16. The SEC's Form 13F FAQ lists this date.

    Source: sec.gov, checked Oct 5, 2026. Due in 312 days.

  14. Aug 31Tue, 2027

    Form N-PX, say-on-pay votes (July 2026 to June 2027)

    Institutional investment managers that file Form 13F

    How the date is set: Annually, not later than August 31, for the 12 months ended June 30 (Rule 14Ad-1). No report is due for the period ending June 30 of the year a manager's first Form 13F is due. August 31, 2027 is a Tuesday.

    Source: ecfr.gov, checked Oct 5, 2026. Due in 327 days.

  15. Nov 15Mon, 2027

    Form 13F, Q3 2027 holdings

    Institutional investment managers that meet the $100 million threshold in Section 13(f) securities

    How the date is set: Within 45 days after the end of each calendar quarter (Rule 13f-1). The 45th day after September 30 is Sunday, November 14, 2027, so the filing is due the next business day, Monday, November 15. The SEC's Form 13F FAQ lists this date.

    Source: sec.gov, checked Oct 5, 2026. Due in 403 days.

  16. Dec 31Fri, 2027

    FINRA CE Regulatory Element, 2027

    FINRA-registered representatives and principals, for each registration held

    How the date is set: Annually by December 31 (FINRA Rule 1240(a)). Someone registered for the first time during a year has until December 31 of the following year. Missing it makes the registration inactive until the Regulatory Element is complete.

    Source: finra.org, checked Oct 5, 2026. Due in 449 days.

  17. Dec 31Fri, 2027

    IAR CE, 2027 credits

    Investment adviser representatives registered in a state that has adopted NASAA's IAR CE model rule

    How the date is set: Each calendar year, due December 31. NASAA: courses must be reflected on the IAR CE transcript in CRD by the end of each calendar year. Applies only in adopting states.

    Source: nasaa.org, checked Oct 5, 2026. Due in 449 days. More on this

Industry events

Open industry conferences, each confirmed on the organizer's own page, plus two invitation-only events marked on their entries: Global Trend Events' wealth forums and Schwab IMPACT. AdvisorIQ is not affiliated with these events.

  1. Oct 14 to 17Wed, 2026

    NAPFA Fall 2026 National Conference

    Atlanta, GA · NAPFA

    CE, as the organizer states it: NAPFA says attendees earn CE through its sessions; the preconference workshop lists 8 NAPFA CEs. No total stated.

    Dates from the organizer: napfa.org, checked Oct 5, 2026.

  2. Oct 25 to 28Sun, 2026

    2026 NSCP National Conference

    Orlando, FL · National Society of Compliance Professionals

    CE, as the organizer states it: Up to 8.7 Florida CLE credits and up to 8.4 CPE credits. For other designations, attendees apply to their own designation body.

    Dates from the organizer: nscp.org, checked Oct 5, 2026.

  3. Oct 27 to 29Tue, 2026

    Schwab IMPACT 2026

    Boston, MA · Charles Schwab

    Who can attend, as the organizer states it: Invitation only, according to Schwab's IMPACT FAQ.

    CE, as the organizer states it: Schwab says attendees can expect 7 to 10 hours of CE credit (CFP, CIMA, CPWA, RMA, and CPE for CPAs).

    Dates from the organizer: impact.schwab.com, checked Oct 5, 2026.

  4. Nov 9 to 11Mon, 2026

    FPA SUMMIT 2026

    National Harbor, MD · Financial Planning Association

    CE, as the organizer states it: A minimum of 10 hours of CFP CE credit with advance and regular registration; early bird registration lists an estimated 8 to 10 hours.

    Dates from the organizer: summit.financialplanningassociation.org, checked Oct 5, 2026.

  5. Nov 16 to 17Mon, 2026

    Experience 2026, Scottsdale

    Scottsdale, AZ · Investments & Wealth Institute

    CE, as the organizer states it: Up to 20 CE, including up to 3 ethics CE and at least 1 tax and regulations CE. IWI says about 80% of sessions are approved for CFP CE.

    Dates from the organizer: experience.investmentsandwealth.org, checked Oct 5, 2026.

  6. Dec 6 to 9Sun, 2026

    GTE Wealth Forum XXVIII

    New Orleans, LA · Global Trend Events

    Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.

    CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.

    Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.

  7. Jan 25 to 27Mon, 2027

    2027 AICPA Personal Financial Planning Symposium

    Nashville, TN · AICPA & CIMA

    CE, as the organizer states it: 17.5 CPE credits for onsite attendance.

    Dates from the organizer: aicpa-cima.com, checked Oct 5, 2026.

  8. Feb 22 to 24Mon, 2027

    Orion Ascent 2027

    Orlando, FL · Orion

    CE, as the organizer states it: CE-eligible sessions for CFP, CIMA, CPWA and RMA. No hour total stated.

    Dates from the organizer: orion.com, checked Oct 5, 2026.

  9. Mar 14 to 17Sun, 2027

    2027 SIFMA C&L Annual Seminar

    San Diego, CA · SIFMA

    CE, as the organizer states it: Breakout sessions are CLE-eligible in multiple states.

    Dates from the organizer: events.sifma.org, checked Oct 5, 2026.

  10. Mar 14 to 17Sun, 2027

    Future Proof Citywide 2027

    Miami Beach, FL · Future Proof

    Dates from the organizer: futureproofhq.com, checked Oct 5, 2026.

  11. Mar 22 to 25Mon, 2027

    T3 Technology Conference 2027

    Las Vegas, NV · T3 Technology Tools for Today

    Dates from the organizer: t3conferences.com, checked Oct 5, 2026.

  12. Apr 4 to 7Sun, 2027

    GTE Wealth Forum XXIX

    Las Vegas, NV · Global Trend Events

    Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.

    CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.

    Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.

  13. May 5 to 8Wed, 2027

    NAPFA 2027 Spring National Conference

    San Diego, CA · NAPFA

    Dates from the organizer: napfa.org, checked Oct 5, 2026.

  14. May 11 to 13Tue, 2027

    2027 FINRA Annual Conference

    Washington, DC · FINRA

    CE, as the organizer states it: FINRA says sessions may qualify for CFP and CRCP continuing education credits.

    Dates from the organizer: finra.org, checked Oct 5, 2026.

  15. Jun 8 to 10Tue, 2027

    Wealth Management EDGE 2027

    Boca Raton, FL · Informa Connect (WealthManagement.com)

    Dates from the organizer: informaconnect.com, checked Oct 5, 2026.

  16. Aug 24 to 26Tue, 2027

    FPA Gather 2027

    Portland, OR · Financial Planning Association

    CE, as the organizer states it: A minimum of 2 hours of CFP CE credit.

    Dates from the organizer: gather.financialplanningassociation.org, checked Oct 5, 2026.

  17. Sep 21 to 23Tue, 2027

    XYPN LIVE 2027

    Seattle, WA · XY Planning Network

    CE, as the organizer states it: XYPN says attendees can earn CFP CE credits. No hour total stated.

    Dates from the organizer: live.xyplanningnetwork.com, checked Oct 5, 2026.

  18. Dec 5 to 8Sun, 2027

    GTE Wealth Forum XXX

    Nashville, TN · Global Trend Events

    Who can attend, as the organizer states it: Invitation only. Advisors qualify through a questionnaire; GTE says its most recent forum set a $250 million AUM minimum for RIAs, bank trusts and family offices, and requirements differ by forum. Advisors attend free.

    CE, as the organizer states it: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum.

    Dates from the organizer: globaltrendevents.com, checked Oct 5, 2026.

Deadlines are summaries of each rule; the regulator's text governs, and your own fiscal year or registrations may change a date. See also: IAR CE requirements by state · CE requirements, with sources · CE calculator · Research and analysis. Today is Oct 8, 2026, Eastern.