IA and IAR Renewal Information

RE: 2009 Renewals Program Through the
Central Registration Depository - Investment Adviser Registration Depository (CRD-IARD)

The 2009 CRD-IARD Renewals Program now facilitates the processing of Annual ("Renewal") Fees for current and pending investment advisers and their licensed investment adviser representatives that have filed electronically on CRD-IARD.

YOU MUST ACT BY EITHER PAYING RENEWAL FEES OR WITHDRAWING

FINRA will be sending you a 2009 CRD-IARD Renewal Program Bulletin via U. S. Mail. Below is a summary of the significant dates and procedures described in more detail in the bulletin.

On or after November 10, 2008, Investment Adviser firms should check the CRD-IARD System for their firm's Preliminary Renewal Statement to learn how much they owe. The investment adviser and the investment adviser representative renewal fee for Colorado is posted on our Fee Schedule. There may be additional charges detailed on the renewal statement.

To retrieve a renewal statement, do the following:

• Logon on to Web CRD/IARD
  
• From the Site Map, click on the Renewal Statement link under the Accounting section
  
  
• Check (Make checks payable to FINRA and be sure to indicate your firm's CRD/IARD number on the check. Do not send payments directly to the Colorado Division of Securities.)
  
  
• Print your Statement and mail the first page with your check payment to:
  

Other payment options:

Firms may submit their payments by:

• Electronic Payment via Web CRD/IARD E-Pay
  

• Wire Transfer

Please telephone the Colorado Division of Securities at 303-894-2320 with any questions or if you want to withdraw. You may refer to the Division's Web site or go to www.iard.com for comprehensive and updated information regarding CRD-IARD Renewals Programs.