Important Dates – 2023 Premiere Select Retirement Account Annual Maintenance Fee Cycle
November 1st – 18h, 2023 – Collection Period – Accounts that have instructions on file to pay the annual maintenance fee via journal, EFT or IBP may have the fee deducted.
November 15, 2023 – Maintenance Fee Waiver Request Deadline – Representatives must submit the Maintenance Fee Waiver Request Form by November 15th to absorb fees for their clients.
November 20, 2023 – Collection Day – Unpaid fees are posted to customer accounts. Accounts with insufficient cash will result in a cash debit balance.
January 5th, 2023, through January 27th, 2023 – Liquidation/Write Offs – Accounts with eligible securities will be liquidated to cover uncollected fees or written off and charged to the advisor on record (if less than $25).
Important Dates – Compliance Deadlines
November 15, 2023 – 2024 renewal packets must be received at ESI Licensing
November 30, 2023 – Deadline for completing FINRA Regulatory Element CE
December 31, 2023 – Deadline for Annual Compliance Meeting completion
February 28, 2024 – Deadline for Firm Element CE completion
TC137336(1023)1