# Dates that matter: compliance deadlines and industry events for advisors

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.

As of: 2026-10-08
Address: https://advisoriq.com/calendar/

## Facts

- deadlines: title: Form 13F, Q3 2026 holdings, due_on: 2026-11-16, who: 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: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05; title: CRD/IARD renewal: full payment due for 2027, due_on: 2026-12-07, who: 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: https://www.iard.com/renewals, checked: 2026-10-05; title: CRD/IARD year-end filing deadline, due_on: 2026-12-27, who: 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: https://www.iard.com/renewals, checked: 2026-10-05; title: IAR CE: last CRD processing for 2026 renewals, due_on: 2026-12-27, who: 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: https://www.nasaa.org/wp-content/uploads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf, checked: 2026-10-05, more: https://advisoriq.com/ce/requirements/iar/; title: FINRA CE Regulatory Element, 2026, due_on: 2026-12-31, who: 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: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240, checked: 2026-10-05; title: IAR CE, 2026 credits, due_on: 2026-12-31, who: 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: https://www.nasaa.org/industry-resources/investment-advisers/resources/iar-ce-faq/, checked: 2026-10-05, more: https://advisoriq.com/ce/requirements/iar/; title: Form 13F, Q4 2026 holdings (year-end report), due_on: 2027-02-16, who: 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: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05; title: Form ADV annual updating amendment, due_on: 2027-03-31, who: 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: https://www.sec.gov/files/formadv-instructions.pdf, checked: 2026-10-05; title: Annual brochure delivery to clients, due_on: 2027-04-30, who: 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: https://www.ecfr.gov/current/title-17/section-275.204-3, checked: 2026-10-05; title: Form PF annual update, due_on: 2027-04-30, who: 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: https://www.sec.gov/files/formpf.pdf, checked: 2026-10-05; title: Form 13F, Q1 2027 holdings, due_on: 2027-05-17, who: 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: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05; title: Form PF: 2024 amendments take effect, due_on: 2027-07-01, who: 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: https://www.sec.gov/rules-regulations/2026/08/s7-22-22, checked: 2026-10-05; title: Form 13F, Q2 2027 holdings, due_on: 2027-08-16, who: 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: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05; title: Form N-PX, say-on-pay votes (July 2026 to June 2027), due_on: 2027-08-31, who: 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: https://www.ecfr.gov/current/title-17/section-240.14Ad-1, checked: 2026-10-05; title: Form 13F, Q3 2027 holdings, due_on: 2027-11-15, who: 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: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f, checked: 2026-10-05; title: FINRA CE Regulatory Element, 2027, due_on: 2027-12-31, who: 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: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240, checked: 2026-10-05; title: IAR CE, 2027 credits, due_on: 2027-12-31, who: 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: https://www.nasaa.org/industry-resources/investment-advisers/resources/iar-ce-faq/, checked: 2026-10-05, more: https://advisoriq.com/ce/requirements/iar/
- industry_events: name: NAPFA Fall 2026 National Conference, organizer: NAPFA, starts_on: 2026-10-14, ends_on: 2026-10-17, city: Atlanta, GA, who_can_attend: Open registration, ce_as_stated_by_organizer: NAPFA says attendees earn CE through its sessions; the preconference workshop lists 8 NAPFA CEs. No total stated., url: https://www.napfa.org/conferences/napfa-fall-2026-national-conference, source: https://www.napfa.org/conferences/napfa-fall-2026-national-conference, checked: 2026-10-05; name: 2026 NSCP National Conference, organizer: National Society of Compliance Professionals, starts_on: 2026-10-25, ends_on: 2026-10-28, city: Orlando, FL, who_can_attend: Open registration, ce_as_stated_by_organizer: Up to 8.7 Florida CLE credits and up to 8.4 CPE credits. For other designations, attendees apply to their own designation body., url: https://www.nscp.org/events/2026-nscp-national-conference, source: https://www.nscp.org/events/2026-nscp-national-conference, checked: 2026-10-05; name: Schwab IMPACT 2026, organizer: Charles Schwab, starts_on: 2026-10-27, ends_on: 2026-10-29, city: Boston, MA, who_can_attend: Invitation only, according to Schwab's IMPACT FAQ., ce_as_stated_by_organizer: Schwab says attendees can expect 7 to 10 hours of CE credit (CFP, CIMA, CPWA, RMA, and CPE for CPAs)., url: https://impact.schwab.com/, source: https://impact.schwab.com/faq/, checked: 2026-10-05; name: FPA SUMMIT 2026, organizer: Financial Planning Association, starts_on: 2026-11-09, ends_on: 2026-11-11, city: National Harbor, MD, who_can_attend: Open registration, ce_as_stated_by_organizer: A minimum of 10 hours of CFP CE credit with advance and regular registration; early bird registration lists an estimated 8 to 10 hours., url: https://summit.financialplanningassociation.org/, source: https://summit.financialplanningassociation.org/, checked: 2026-10-05; name: Experience 2026, Scottsdale, organizer: Investments & Wealth Institute, starts_on: 2026-11-16, ends_on: 2026-11-17, city: Scottsdale, AZ, who_can_attend: Open registration, ce_as_stated_by_organizer: 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., url: https://experience.investmentsandwealth.org/scottsdale, source: https://experience.investmentsandwealth.org/scottsdale-register, checked: 2026-10-05; name: GTE Wealth Forum XXVIII, organizer: Global Trend Events, starts_on: 2026-12-06, ends_on: 2026-12-09, city: New Orleans, LA, who_can_attend: 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_stated_by_organizer: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum., url: https://globaltrendevents.com/next-event/, source: https://globaltrendevents.com/next-event/, checked: 2026-10-05; name: 2027 AICPA Personal Financial Planning Symposium, organizer: AICPA & CIMA, starts_on: 2027-01-25, ends_on: 2027-01-27, city: Nashville, TN, who_can_attend: Open registration, ce_as_stated_by_organizer: 17.5 CPE credits for onsite attendance., url: https://events.aicpa-cima.com/pfpsymposium, source: https://www.aicpa-cima.com/cpe-learning/conference/personal-financial-planning-symposium, checked: 2026-10-05; name: Orion Ascent 2027, organizer: Orion, starts_on: 2027-02-22, ends_on: 2027-02-24, city: Orlando, FL, who_can_attend: Open registration, ce_as_stated_by_organizer: CE-eligible sessions for CFP, CIMA, CPWA and RMA. No hour total stated., url: https://orion.com/ascent, source: https://orion.com/ascent, checked: 2026-10-05; name: 2027 SIFMA C&L Annual Seminar, organizer: SIFMA, starts_on: 2027-03-14, ends_on: 2027-03-17, city: San Diego, CA, who_can_attend: Open registration, ce_as_stated_by_organizer: Breakout sessions are CLE-eligible in multiple states., url: https://events.sifma.org/event/cl-annual/home, source: https://events.sifma.org/event/cl-annual/home, checked: 2026-10-05; name: Future Proof Citywide 2027, organizer: Future Proof, starts_on: 2027-03-14, ends_on: 2027-03-17, city: Miami Beach, FL, who_can_attend: Open registration, ce_as_stated_by_organizer: not stated, url: https://futureproofhq.com/citywide/, source: https://futureproofhq.com/citywide/, checked: 2026-10-05; name: T3 Technology Conference 2027, organizer: T3 Technology Tools for Today, starts_on: 2027-03-22, ends_on: 2027-03-25, city: Las Vegas, NV, who_can_attend: Open registration, ce_as_stated_by_organizer: not stated, url: https://t3conferences.com/, source: https://t3conferences.com/, checked: 2026-10-05; name: GTE Wealth Forum XXIX, organizer: Global Trend Events, starts_on: 2027-04-04, ends_on: 2027-04-07, city: Las Vegas, NV, who_can_attend: 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_stated_by_organizer: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum., url: https://globaltrendevents.com/next-event/, source: https://globaltrendevents.com/next-event/, checked: 2026-10-05; name: NAPFA 2027 Spring National Conference, organizer: NAPFA, starts_on: 2027-05-05, ends_on: 2027-05-08, city: San Diego, CA, who_can_attend: Open registration, ce_as_stated_by_organizer: not stated, url: https://www.napfa.org/community/future-conferences, source: https://www.napfa.org/community/future-conferences, checked: 2026-10-05; name: 2027 FINRA Annual Conference, organizer: FINRA, starts_on: 2027-05-11, ends_on: 2027-05-13, city: Washington, DC, who_can_attend: Open registration, ce_as_stated_by_organizer: FINRA says sessions may qualify for CFP and CRCP continuing education credits., url: https://www.finra.org/events-training/conferences-events/2027-annual-conference, source: https://www.finra.org/events-training/conferences-events/2027-annual-conference, checked: 2026-10-05; name: Wealth Management EDGE 2027, organizer: Informa Connect (WealthManagement.com), starts_on: 2027-06-08, ends_on: 2027-06-10, city: Boca Raton, FL, who_can_attend: Open registration, ce_as_stated_by_organizer: not stated, url: https://informaconnect.com/edge/, source: https://informaconnect.com/edge/, checked: 2026-10-05; name: FPA Gather 2027, organizer: Financial Planning Association, starts_on: 2027-08-24, ends_on: 2027-08-26, city: Portland, OR, who_can_attend: Open registration, ce_as_stated_by_organizer: A minimum of 2 hours of CFP CE credit., url: https://gather.financialplanningassociation.org/, source: https://gather.financialplanningassociation.org/, checked: 2026-10-05; name: XYPN LIVE 2027, organizer: XY Planning Network, starts_on: 2027-09-21, ends_on: 2027-09-23, city: Seattle, WA, who_can_attend: Open registration, ce_as_stated_by_organizer: XYPN says attendees can earn CFP CE credits. No hour total stated., url: https://live.xyplanningnetwork.com/, source: https://live.xyplanningnetwork.com/, checked: 2026-10-05; name: GTE Wealth Forum XXX, organizer: Global Trend Events, starts_on: 2027-12-05, ends_on: 2027-12-08, city: Nashville, TN, who_can_attend: 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_stated_by_organizer: GTE says its forum presentations offer CE credit for CFP and IWI holders. No hours stated for this forum., url: https://globaltrendevents.com/next-event/, source: https://globaltrendevents.com/next-event/, checked: 2026-10-05
- calendar_feeds: deadlines: https://advisoriq.com/calendar/deadlines.ics, events: https://advisoriq.com/calendar/events.ics

## Notes

- Deadlines are summaries of each rule; the regulator's text governs, and your own fiscal year or registrations may change a date.
- Dates that depend on a fiscal year assume December 31, as each entry says. Weekend and holiday moves are applied only where the rule says so.
- 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.

## Sources

- sec.gov, checked 2026-10-05: https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f
- iard.com, checked 2026-10-05: https://www.iard.com/renewals
- nasaa.org, checked 2026-10-05: https://www.nasaa.org/wp-content/uploads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf
- finra.org, checked 2026-10-05: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240
- nasaa.org, checked 2026-10-05: https://www.nasaa.org/industry-resources/investment-advisers/resources/iar-ce-faq/
- sec.gov, checked 2026-10-05: https://www.sec.gov/files/formadv-instructions.pdf
- ecfr.gov, checked 2026-10-05: https://www.ecfr.gov/current/title-17/section-275.204-3
- sec.gov, checked 2026-10-05: https://www.sec.gov/files/formpf.pdf
- sec.gov, checked 2026-10-05: https://www.sec.gov/rules-regulations/2026/08/s7-22-22
- ecfr.gov, checked 2026-10-05: https://www.ecfr.gov/current/title-17/section-240.14Ad-1
- napfa.org, checked 2026-10-05: https://www.napfa.org/conferences/napfa-fall-2026-national-conference
- nscp.org, checked 2026-10-05: https://www.nscp.org/events/2026-nscp-national-conference
- impact.schwab.com, checked 2026-10-05: https://impact.schwab.com/faq/
- summit.financialplanningassociation.org, checked 2026-10-05: https://summit.financialplanningassociation.org/
- experience.investmentsandwealth.org, checked 2026-10-05: https://experience.investmentsandwealth.org/scottsdale-register
- globaltrendevents.com, checked 2026-10-05: https://globaltrendevents.com/next-event/
- aicpa-cima.com, checked 2026-10-05: https://www.aicpa-cima.com/cpe-learning/conference/personal-financial-planning-symposium
- orion.com, checked 2026-10-05: https://orion.com/ascent
- events.sifma.org, checked 2026-10-05: https://events.sifma.org/event/cl-annual/home
- futureproofhq.com, checked 2026-10-05: https://futureproofhq.com/citywide/
- t3conferences.com, checked 2026-10-05: https://t3conferences.com/
- napfa.org, checked 2026-10-05: https://www.napfa.org/community/future-conferences
- finra.org, checked 2026-10-05: https://www.finra.org/events-training/conferences-events/2027-annual-conference
- informaconnect.com, checked 2026-10-05: https://informaconnect.com/edge/
- gather.financialplanningassociation.org, checked 2026-10-05: https://gather.financialplanningassociation.org/
- live.xyplanningnetwork.com, checked 2026-10-05: https://live.xyplanningnetwork.com/

## Related

- [IAR CE requirements by state](https://advisoriq.com/ce/requirements/iar/)
- [CE requirements, with sources](https://advisoriq.com/ce/requirements/)
- [CE calculator](https://advisoriq.com/ce/)
- [Research and analysis](https://advisoriq.com/research/)

## Cite as

AdvisorIQ, as of 2026-10-08. https://advisoriq.com/calendar/

License: https://advisoriq.com/license/