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State Registration Renewal?

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Nov 2, 2012 11:50 pm

CashMonger9000

Joined: 2012-04-06Offline

If I first become registered in State X on October 15th 2012, when will that registration expire? If I recall correctly, it would be December 31 2013. Is this correct?

Nov 3, 2012 4:51 pm

Ulairi

Joined: 2011-11-17Offline

Insurance or security?

Nov 4, 2012 3:07 am

CashMonger9000

Joined: 2012-04-06Offline

Security.

Nov 4, 2012 5:05 pm

mstudy

Joined: 2011-10-05Offline

Registrations for all people expire on 12/31. In your case, it would be 12/31/2012, not 12/31/13

Nov 9, 2012 8:01 am

Jessica Abell

Joined: 2012-11-09Offline

The registration must not be expired, if that certain person is not yet register or she/he dont like to register, there security equipmentmust detect who’s that person or he/she exist…

Nov 26, 2012 2:53 am

polariscompliance

Joined: 2012-02-22Offline

Hi CashMonger 9000,

mstudy is correct. Registrations for all people expire on 12/31. Just because you registered with the state near the end of the year, that doesn’t carry over to the next year, so you still have to renew before the end of 2012. I hope this helps.

Regards,
Tiffany Chamberlain
Managing Director, Polaris Compliance Consulting, LLC
(888) 240-4299
Polaris Compliance Consulting, LLC Polaris Compliance Consulting, LLC

Polaris Compliance Consulting provides compliance services to Registered Investment Advisors of all sizes.