Stark & Stark Investment Adviser Client Alert

In the coming weeks, all investment advisers must begin the process of renewing notice filings (for federally registered investment advisers), state registrations, and investment adviser representative registrations. Generally, the renewal process involves electronic renewal filings, but there are some states which require hard copy submission as well as the completion of documents not available through the electronic filing system. Please notify our office at your earliest convenience so that we may effect a smooth renewals process for you. Please be advised that Stark & Stark will only automatically perform the renewals process for those clients who have indicated in writing that they wish for us to do so. If you would like us to effect the renewals process, and you have not previously so indicated, please let us know as soon as possible so that your renewal registrations/notice filings can be made in a timely manner. If you intend to complete the process on your own, please be mindful of the various processing deadlines imposed by the NASD.