BEGIN:VCALENDAR VERSION:2.0 PRODID:-//AdvisorIQ//Calendar//EN CALSCALE:GREGORIAN METHOD:PUBLISH X-WR-CALNAME:AdvisorIQ: compliance deadlines X-WR-CALDESC:Filing and CE deadlines for advisors\, each with its official source. From AdvisorIQ. REFRESH-INTERVAL;VALUE=DURATION:PT12H X-PUBLISHED-TTL:PT12H BEGIN:VEVENT UID:deadline-form-13f-2026-11-16@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261116 DTEND;VALUE=DATE:20261117 SUMMARY:Form 13F\, Q3 2026 holdings DESCRIPTION:Who: Institutional investment managers that meet the $100 milli on threshold in Section 13(f) securities\nHow the date is set: Within 45 d ays after the end of each calendar quarter (Rule 13f-1). The 45th day afte r 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 Monda y\, November 16. The SEC's Form 13F FAQ lists this date.\nSource: https:// www.sec.gov/rules-regulations/staff-guidance/division-investment-managemen t-frequently-asked-questions/frequently-asked-questions-about-form-13f (ch ecked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-crd-iard-renewal-payment-2026-12-07@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261207 DTEND;VALUE=DATE:20261208 SUMMARY:CRD/IARD renewal: full payment due for 2027 DESCRIPTION:Who: Broker-dealers and investment adviser firms that renew reg istrations through FINRA's CRD or IARD\, including state-registered advise rs and SEC-registered advisers with state notice filings\nHow the date is set: Set each year by FINRA's Renewal Program. For 2027 renewals\, Prelimi nary Statements are available November 9\, 2026 and payment is due on or b efore December 7\, 2026. Final Statements follow on January 2\, 2027.\nSou rce: https://www.iard.com/renewals (checked 2026-10-05)\nMore: https://adv isoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-crd-iard-year-end-filing-2026-12-27@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261227 DTEND;VALUE=DATE:20261228 SUMMARY:CRD/IARD year-end filing deadline DESCRIPTION:Who: Broker-dealers and investment adviser firms that file regi stration forms through CRD or IARD\nHow the date is set: Set each year by FINRA's Renewal Program. The last day to submit form filings for 2026 is D ecember 27\, 2026 at 6 p.m. ET\, when CRD/IARD shuts down for the year. FI NRA and IARD both list this date\, which is a Sunday.\nSource: https://www .iard.com/renewals (checked 2026-10-05)\nMore: https://advisoriq.com/calen dar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-iar-ce-crd-shutdown-2026-12-27@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261227 DTEND;VALUE=DATE:20261228 SUMMARY:IAR CE: last CRD processing for 2026 renewals DESCRIPTION:Who: IARs in IAR CE states who are behind on CE\, above all any one who also missed the 2025 requirement\nHow the date is set: Set for 202 6 in NASAA's year-end memo of September 14\, 2026: CRD stops processing co urse rosters for 2026 renewals at 4:00 PM Eastern on December 27. An IAR i n CE Inactive status at that moment (deficient for both 2025 and 2026) fai ls to renew for 2027. NASAA Learning courses must be finished by midnight December 22 to be included.\nSource: https://www.nasaa.org/wp-content/uplo ads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf (checked 2026-10-05)\nMore: h ttps://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-finra-ce-regulatory-element-2026-12-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261231 DTEND;VALUE=DATE:20270101 SUMMARY:FINRA CE Regulatory Element\, 2026 DESCRIPTION:Who: FINRA-registered representatives and principals\, for each registration held\nHow the date is set: Annually by December 31 (FINRA Ru le 1240(a)). Someone registered for the first time during a year has until December 31 of the following year. Missing it makes the registration inac tive until the Regulatory Element is complete.\nSource: https://www.finra. org/rules-guidance/rulebooks/finra-rules/1240 (checked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-iar-ce-2026-12-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20261231 DTEND;VALUE=DATE:20270101 SUMMARY:IAR CE\, 2026 credits DESCRIPTION:Who: Investment adviser representatives registered in a state t hat has adopted NASAA's IAR CE model rule\nHow the date is set: Each calen dar 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 adopt ing states.\nSource: https://www.nasaa.org/industry-resources/investment-a dvisers/resources/iar-ce-faq/ (checked 2026-10-05)\nMore: https://advisori q.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-13f-2027-02-16@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270216 DTEND;VALUE=DATE:20270217 SUMMARY:Form 13F\, Q4 2026 holdings (year-end report) DESCRIPTION:Who: Institutional investment managers that meet the $100 milli on threshold in Section 13(f) securities\nHow the date is set: Within 45 d ays after the end of the calendar year (Rule 13f-1). The 45th day is Sunda y\, 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.\nSource: https://www.sec.gov/rules-regula tions/staff-guidance/division-investment-management-frequently-asked-quest ions/frequently-asked-questions-about-form-13f (checked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-adv-annual-amendment-2027-03-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270331 DTEND;VALUE=DATE:20270401 SUMMARY:Form ADV annual updating amendment DESCRIPTION:Who: Investment adviser firms registered with the SEC or a stat e\, and exempt reporting advisers\, with a December 31 fiscal year end\nHo w 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 Dec ember 31 fiscal year end\, the most common\; a different fiscal year end m oves it. March 31\, 2027 is a Wednesday\, so no weekend rule applies.\nSou rce: https://www.sec.gov/files/formadv-instructions.pdf (checked 2026-10-0 5)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-adv-brochure-annual-delivery-2027-04-30@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270430 DTEND;VALUE=DATE:20270501 SUMMARY:Annual brochure delivery to clients DESCRIPTION:Who: SEC-registered investment advisers with a December 31 fisc al year end whose brochure changed materially since the last annual amendm ent\nHow 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 sum mary 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. Apr il 30\, 2027 is a Friday.\nSource: https://www.ecfr.gov/current/title-17/s ection-275.204-3 (checked 2026-10-05)\nMore: https://advisoriq.com/calenda r/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-pf-annual-update-2027-04-30@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270430 DTEND;VALUE=DATE:20270501 SUMMARY:Form PF annual update DESCRIPTION:Who: SEC-registered private fund advisers that file Form PF ann ually (every filer except large hedge fund advisers and large liquidity fu nd advisers\, which file quarterly)\, with a December 31 fiscal year end\n 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.\nSource: https://www.sec.gov/files/formpf.pdf (che cked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-13f-2027-05-17@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270517 DTEND;VALUE=DATE:20270518 SUMMARY:Form 13F\, Q1 2027 holdings DESCRIPTION:Who: Institutional investment managers that meet the $100 milli on threshold in Section 13(f) securities\nHow the date is set: Within 45 d ays after the end of each calendar quarter (Rule 13f-1). The 45th day afte r March 31 is Saturday\, May 15\, 2027\, so the filing is due the next bus iness day\, Monday\, May 17. The SEC's Form 13F FAQ lists this date.\nSour ce: https://www.sec.gov/rules-regulations/staff-guidance/division-investme nt-management-frequently-asked-questions/frequently-asked-questions-about- form-13f (checked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-pf-2024-amendments-2027-07-01@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270701 DTEND;VALUE=DATE:20270702 SUMMARY:Form PF: 2024 amendments take effect DESCRIPTION:Who: SEC-registered advisers that file Form PF\nHow the date is set: A compliance date set by SEC release. Release IA-6992 (August 31\, 2 026) 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 extend ed several times\; check for further changes.\nSource: https://www.sec.gov /rules-regulations/2026/08/s7-22-22 (checked 2026-10-05)\nMore: https://ad visoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-13f-2027-08-16@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270816 DTEND;VALUE=DATE:20270817 SUMMARY:Form 13F\, Q2 2027 holdings DESCRIPTION:Who: Institutional investment managers that meet the $100 milli on threshold in Section 13(f) securities\nHow the date is set: Within 45 d ays after the end of each calendar quarter (Rule 13f-1). The 45th day afte r June 30 is Saturday\, August 14\, 2027\, so the filing is due the next b usiness day\, Monday\, August 16. The SEC's Form 13F FAQ lists this date.\ nSource: https://www.sec.gov/rules-regulations/staff-guidance/division-inv estment-management-frequently-asked-questions/frequently-asked-questions-a bout-form-13f (checked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-n-px-say-on-pay-2027-08-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20270831 DTEND;VALUE=DATE:20270901 SUMMARY:Form N-PX\, say-on-pay votes (July 2026 to June 2027) DESCRIPTION:Who: Institutional investment managers that file Form 13F\nHow the date is set: Annually\, not later than August 31\, for the 12 months e nded 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 Tues day.\nSource: https://www.ecfr.gov/current/title-17/section-240.14Ad-1 (ch ecked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-form-13f-2027-11-15@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20271115 DTEND;VALUE=DATE:20271116 SUMMARY:Form 13F\, Q3 2027 holdings DESCRIPTION:Who: Institutional investment managers that meet the $100 milli on threshold in Section 13(f) securities\nHow the date is set: Within 45 d ays after the end of each calendar quarter (Rule 13f-1). The 45th day afte r September 30 is Sunday\, November 14\, 2027\, so the filing is due the n ext business day\, Monday\, November 15. The SEC's Form 13F FAQ lists this date.\nSource: https://www.sec.gov/rules-regulations/staff-guidance/divis ion-investment-management-frequently-asked-questions/frequently-asked-ques tions-about-form-13f (checked 2026-10-05)\nMore: https://advisoriq.com/cal endar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-finra-ce-regulatory-element-2027-12-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20271231 DTEND;VALUE=DATE:20280101 SUMMARY:FINRA CE Regulatory Element\, 2027 DESCRIPTION:Who: FINRA-registered representatives and principals\, for each registration held\nHow the date is set: Annually by December 31 (FINRA Ru le 1240(a)). Someone registered for the first time during a year has until December 31 of the following year. Missing it makes the registration inac tive until the Regulatory Element is complete.\nSource: https://www.finra. org/rules-guidance/rulebooks/finra-rules/1240 (checked 2026-10-05)\nMore: https://advisoriq.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT BEGIN:VEVENT UID:deadline-iar-ce-2027-12-31@advisoriq.com DTSTAMP:20261008T085752Z DTSTART;VALUE=DATE:20271231 DTEND;VALUE=DATE:20280101 SUMMARY:IAR CE\, 2027 credits DESCRIPTION:Who: Investment adviser representatives registered in a state t hat has adopted NASAA's IAR CE model rule\nHow the date is set: Each calen dar 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 adopt ing states.\nSource: https://www.nasaa.org/industry-resources/investment-a dvisers/resources/iar-ce-faq/ (checked 2026-10-05)\nMore: https://advisori q.com/calendar/ URL:https://advisoriq.com/calendar/ CATEGORIES:Deadline TRANSP:TRANSPARENT END:VEVENT END:VCALENDAR