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

For asset managers
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 4 upcoming compliance deadlines through Dec 31, 2027, the next being CRD/IARD renewal: full payment due for 2027, due Dec 7, 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. 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.

  2. 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.

  3. 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.

  4. 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.

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.