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.
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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.
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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.
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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.
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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
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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.
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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
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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
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.