2026 Compliance Deadline Calendar: SEC, FINRA, NFA & FinCEN
A searchable, up-to-date reference to every 2026 filing deadline for RIAs, broker-dealers, private funds, and CPO/CTA firms — Form ADV, Form PF, 13F, 13H, FOCUS, Form CRS, IARD renewals, and AML testing. Filter by firm type or search by form name.
2026 Form 13F due dates: Feb 17, May 15, Aug 14 and Nov 16. See the full 13F deadlines guide →
Schedules 13G / 13D Annual Amendments
Beneficial owners file annual amendments for 5%+ holdings as of year-end.
Form 13H Annual Filing
Large traders must update Form 13H annually within 45 days of calendar year-end (Feb 14 falls on a Saturday and Feb 16 is a federal holiday, so the deadline moves to Feb 17). Also file a Q4 amendment if any information became inaccurate.
Form 13F Q4 2025 Filing
13F managers — Q4 holdings report due 45 days after quarter end. Day 45 (Feb 14) is a Saturday and Feb 16 is Presidents Day, so file by Feb 17. Applies to managers with $100M+ in 13(f) securities.
Form ADV Annual Updating Amendment
All SEC- and state-registered advisers must file annual ADV amendment within 90 days of fiscal year end (Dec 31 FY).
ADV Part 2A Brochure Delivery
Within 120 days of FY end, deliver updated brochure (or summary of material changes) to all clients.
NFA Annual Questionnaire
NFA Member firms complete the annual self-examination questionnaire.
Form PF Annual (Smaller Private Fund Advisers)
Smaller private fund advisers ($150M–$1.5B) file annual Form PF within 120 days of FY end.
CPO-PQR Annual Filing
Commodity Pool Operators file the annual NFA Form PQR.
Annual Compliance Program Review (Rule 206(4)-7)
Best practice: complete the annual review of compliance policies & procedures and document findings (no formal SEC deadline, but typically Q1–Q2).
FOCUS Report Q1 (Schedule I)
Broker-dealer FOCUS filing due within 17 business days after quarter end.
Form CRS Annual Review
Review and amend Form CRS within 30 days when information becomes materially inaccurate; annual review recommended.
Form 13F Q1 Filing
Q1 holdings report due 45 days after quarter end.
Form 13H Q1 Amendment
Amend Form 13H promptly after quarter end (SEC guidance: within 45 days) if any information has become inaccurate.
Form PF Quarterly (Large Hedge Fund Advisers)
Large hedge-fund advisers ($1.5B+) file quarterly within 60 days of quarter end.
Form D Annual Amendment
Issuers in continuous Rule 506(c) offerings must amend Form D annually.
FOCUS Report Q2
Broker-dealer FOCUS filing due within 17 business days after quarter end.
Form 13F Q2 Filing
Q2 holdings report due 45 days after quarter end.
Form 13H Q2 Amendment
Amend Form 13H promptly after quarter end (SEC guidance: within 45 days) if any information has become inaccurate.
Form PF Annual (Large Private Equity Advisers)
Large private equity advisers file annual Form PF within 120 days of FY end (calendar-year filers).
Form PF Quarterly Event Reporting
Large hedge fund advisers must report certain events (e.g., extraordinary losses, margin defaults) within 72 hours under amended Form PF.
FOCUS Report Q3
Broker-dealer FOCUS filing due within 17 business days after quarter end.
IARD/CRD Renewal Preliminary Statement
FINRA posts Preliminary Renewal Statements — review and fund renewal accounts.
Form 13F Q3 Filing
Q3 holdings report due 45 days after quarter end. Day 45 (Nov 14) is a Saturday, so file by Monday, Nov 16.
Form 13H Q3 Amendment
Amend Form 13H promptly after quarter end (SEC guidance: within 45 days) if any information has become inaccurate.
IARD/CRD Renewal Payment Deadline
Full payment of state renewal fees due via E-Bill to avoid lapse.
IAR Continuing Education (12 credits)
In states that have adopted the NASAA IAR CE Model Rule, each investment adviser representative must complete 12 credits (6 Ethics & Professional Responsibility + 6 Products & Practice) by Dec 31. Reps who miss it are marked CE Inactive. Confirm your state has adopted the rule.
Annual Privacy Notice (Reg S-P)
If not subject to the FAST Act exception, deliver annual privacy notice to customers.
AML Independent Testing
Broker-dealers must conduct independent AML program testing at least annually.
Marketing Rule (Rule 206(4)-1) Reviews
Pre-approve and document all advertisements, testimonials, endorsements, and third-party ratings.
Form U4 Amendments
Amend Form U4 within 30 days of any material change (statutory disclosures within 10 days).
Form U5 Termination Filing
File Form U5 within 30 days of termination of a registered representative.
Related references: 2026 state filing fees, Form D filing requirements, outsourced CCO cost benchmarks, and the CCO annual review checklist.
Disclaimer: Dates compiled from SEC, FINRA, NFA, and FinCEN published schedules. Some dates shift when they fall on weekends or holidays. This is reference information only — not legal or compliance advice. Always verify with the regulator before relying on a deadline.
Frequently Asked Questions
When is the Form ADV annual amendment due in 2026?
Form ADV annual updating amendments are due within 90 days of the firm's fiscal year-end. For calendar-year firms, the 2026 deadline is March 31, 2026.
What is the Form 13F filing deadline?
Form 13F is due 45 days after the end of each calendar quarter, moved to the next business day when day 45 is a weekend or federal holiday. For 2026: Feb 17 (Q4 2025), May 15 (Q1), Aug 14 (Q2), Nov 16 (Q3). See our full 13F filing deadlines guide at fincompliance.io/resources/13f-filing-deadlines.
When is Form PF due in 2026?
Smaller private fund advisers ($150M–$1.5B) file annually within 120 days of FY end (Mar 31 for calendar filers). Large hedge fund advisers ($1.5B+) file quarterly within 60 days of quarter-end. New 72-hour event-driven reporting also applies to large hedge fund advisers under the amended Form PF.
When are IARD/CRD renewal fees due?
FINRA posts Preliminary Renewal Statements in mid-November. Full payment of state renewal fees is typically due in mid-December (Dec 14, 2026) to avoid lapse on Jan 1, 2027.
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