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 Apr 30, 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. 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.

  4. 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.

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.