Reminder: Renewal and State Notice Filings Due December 17 Compliance

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This is a reminder that all SEC-registered investment advisers and all FINRA-registered broker dealers must submit their renewal fees and state notice filings via the Investment Adviser Registration Depository (IARD)/Central Registration Depository (CRD) by December 17. Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.

If you have any questions or require further information, please do not hesitate to contact one of our experts.

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