{
 "name": "Compliance deadlines",
 "description": "Regulatory filing and CE deadlines for advisers and their firms, each with the rule that sets the date.",
 "url": "https://advisoriq.com/data/deadlines.json",
 "page": "https://advisoriq.com/data/",
 "as_of": "2026-10-05",
 "license": "https://advisoriq.com/license/",
 "source": "AdvisorIQ, independent education for financial advisors. Each record names the official source it was checked against and the date.",
 "count": 17,
 "unverified": 0,
 "records": [
  {
   "slug": "form-13f",
   "title": "Form 13F, Q3 2026 holdings",
   "who": "Institutional investment managers that meet the $100 million threshold in Section 13(f) securities",
   "applies_to": [
    "13f"
   ],
   "due_on": "2026-11-16",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "crd-iard-renewal-payment",
   "title": "CRD/IARD renewal: full payment due for 2027",
   "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",
   "applies_to": [
    "ria",
    "rep"
   ],
   "due_on": "2026-12-07",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.iard.com/renewals",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "crd-iard-year-end-filing",
   "title": "CRD/IARD year-end filing deadline",
   "who": "Broker-dealers and investment adviser firms that file registration forms through CRD or IARD",
   "applies_to": [
    "ria",
    "rep"
   ],
   "due_on": "2026-12-27",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.iard.com/renewals",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "iar-ce-crd-shutdown",
   "title": "IAR CE: last CRD processing for 2026 renewals",
   "who": "IARs in IAR CE states who are behind on CE, above all anyone who also missed the 2025 requirement",
   "applies_to": [
    "iar"
   ],
   "due_on": "2026-12-27",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/ce/requirements/iar/",
   "source_url": "https://www.nasaa.org/wp-content/uploads/2026/09/2026-IAR-CE-End-of-Year-Memo.pdf",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "finra-ce-regulatory-element",
   "title": "FINRA CE Regulatory Element, 2026",
   "who": "FINRA-registered representatives and principals, for each registration held",
   "applies_to": [
    "rep"
   ],
   "due_on": "2026-12-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "iar-ce",
   "title": "IAR CE, 2026 credits",
   "who": "Investment adviser representatives registered in a state that has adopted NASAA's IAR CE model rule",
   "applies_to": [
    "iar"
   ],
   "due_on": "2026-12-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/ce/requirements/iar/",
   "source_url": "https://www.nasaa.org/industry-resources/investment-advisers/resources/iar-ce-faq/",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-13f",
   "title": "Form 13F, Q4 2026 holdings (year-end report)",
   "who": "Institutional investment managers that meet the $100 million threshold in Section 13(f) securities",
   "applies_to": [
    "13f"
   ],
   "due_on": "2027-02-16",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-adv-annual-amendment",
   "title": "Form ADV annual updating amendment",
   "who": "Investment adviser firms registered with the SEC or a state, and exempt reporting advisers, with a December 31 fiscal year end",
   "applies_to": [
    "ria"
   ],
   "due_on": "2027-03-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/files/formadv-instructions.pdf",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "adv-brochure-annual-delivery",
   "title": "Annual brochure delivery to clients",
   "who": "SEC-registered investment advisers with a December 31 fiscal year end whose brochure changed materially since the last annual amendment",
   "applies_to": [
    "ria"
   ],
   "due_on": "2027-04-30",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.ecfr.gov/current/title-17/section-275.204-3",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-pf-annual-update",
   "title": "Form PF annual update",
   "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",
   "applies_to": [
    "private_funds"
   ],
   "due_on": "2027-04-30",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/files/formpf.pdf",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-13f",
   "title": "Form 13F, Q1 2027 holdings",
   "who": "Institutional investment managers that meet the $100 million threshold in Section 13(f) securities",
   "applies_to": [
    "13f"
   ],
   "due_on": "2027-05-17",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-pf-2024-amendments",
   "title": "Form PF: 2024 amendments take effect",
   "who": "SEC-registered advisers that file Form PF",
   "applies_to": [
    "private_funds"
   ],
   "due_on": "2027-07-01",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/2026/08/s7-22-22",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-13f",
   "title": "Form 13F, Q2 2027 holdings",
   "who": "Institutional investment managers that meet the $100 million threshold in Section 13(f) securities",
   "applies_to": [
    "13f"
   ],
   "due_on": "2027-08-16",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-n-px-say-on-pay",
   "title": "Form N-PX, say-on-pay votes (July 2026 to June 2027)",
   "who": "Institutional investment managers that file Form 13F",
   "applies_to": [
    "13f"
   ],
   "due_on": "2027-08-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.ecfr.gov/current/title-17/section-240.14Ad-1",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "form-13f",
   "title": "Form 13F, Q3 2027 holdings",
   "who": "Institutional investment managers that meet the $100 million threshold in Section 13(f) securities",
   "applies_to": [
    "13f"
   ],
   "due_on": "2027-11-15",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/frequently-asked-questions-about-form-13f",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "finra-ce-regulatory-element",
   "title": "FINRA CE Regulatory Element, 2027",
   "who": "FINRA-registered representatives and principals, for each registration held",
   "applies_to": [
    "rep"
   ],
   "due_on": "2027-12-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/calendar/",
   "source_url": "https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  },
  {
   "slug": "iar-ce",
   "title": "IAR CE, 2027 credits",
   "who": "Investment adviser representatives registered in a state that has adopted NASAA's IAR CE model rule",
   "applies_to": [
    "iar"
   ],
   "due_on": "2027-12-31",
   "rule_text": "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.",
   "page_url": "https://advisoriq.com/ce/requirements/iar/",
   "source_url": "https://www.nasaa.org/industry-resources/investment-advisers/resources/iar-ce-faq/",
   "verified_at": "2026-10-05",
   "status": "verified",
   "license": "https://advisoriq.com/license/"
  }
 ]
}