Filing Deadlines and To-Do List for May 2021
By EsqSocial Corporation 20/05/21
INVESTMENT ADVISERS - Form 13F: Form 13F quarterly filing is due for Q1 2021 within 45 days after the end of the calendar quarter. Due date is May 17, 2021. - Annual Entitlement User Account Certification. FINRA requires broker-dealers and advisers to conduct an annual review of its IARD user accounts and certify that access and entitlements are appropriate for each user’s role and responsibilities. The Super Account Administrator (“SAA”) is responsible for conducting the review, amending...
By: Hardin Compliance Consulting LLC