Searched for:
Showing 11 to 20 of 117 results
EXAMPLE_PF_AMEND.xml PF-AMEND Q 2012-03-31 1 1111111 22 333 RGSTD_ERA 555555 SMITH RELATED EXAMPLE CORP 801 55555 bbbb-bbbb cccc CPO_CTA CPO/CTA INC. 9999999 cccccc dddd RELY_SPV My Relying Adviser Name aaaaaaaaaaaaaaa aaaaa John Smith /S/(Signature of …
https://www.iard.com/form-pf-schema-documentation-sections-1-4 - 2023-12-08
Form PF Sections 5 and 6 File Upload.pdf Form PF Sections 5 & 6 File Upload Copyright FINRA As of December 11, 2023 Page 1 of 2 Introduction New Form PF Sections 5 and 6 are available for submission as of December 11, 2023. This document is provided to …
https://www.iard.com/form-pf-schema-documentation-sections-5-6 - 2023-12-08
1 2024 Investment Adviser Renewal Bulletin This document provides firms with information about the Annual Renewal Program. You can select a link below to review specific information pertaining to the renewal process. I. Renewal Overview II. Preliminary …
https://www.iard.com/2024-iard-renewal-bulletin - 2023-11-01
The North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for investment adviser representatives (IAR EVEP), allows eligible individuals the opportunity to extend the validity of their Series 65 exam for up to five …
https://www.iard.com/iar-evep - 2023-10-25
2024 Renewal Program Calendar October 2023 Mon., 10/02 FINRA suggests firms review their registered persons in FINRA Gateway to ensure that they have properly and timely reported all appropriate information and that all open branch offices have …
https://www.iard.com/2024-renewal-program-calendar - 2023-08-14
February 3, 2025 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1700 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 24-13 – Retrospective Rule Review: Day Trading FINRA Requests Comment on the Effectiveness and Efficiency …
https://www.iard.com/ia-firm-state-registrationnotice-filing-fee-schedule - 2023-07-01
Form_PF_XML_Filing_Guide.pdf PFRD TM Form PF XML Filing Guide Release 2023.01 Complex Type: Schema Component Type AusAddress Schema Component Name Table of Contents Preface Change History How To Submit XML Filings Introduction Filing XML Interactively Via …
https://www.iard.com/draft-schema-updates - 2023-01-12
PFRD TM Form PF XML Filing Guide Release 2023.01 Complex Type: Schema Component Type AusAddress Schema Component Name Table of Contents Preface Change History How To Submit XML Filings Introduction Filing XML Interactively Via the PFRD Website Filing XML …
https://www.iard.com/formpfxmlfilingguidepdf - 2023-01-05
EXAMPLE_IA_INDVL.xml IAPDIndividualBulkFeed.xsd ©2013 Financial Industry Regulatory Authority, Inc. (FINRA). All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. This document contains FINRA …
https://www.iard.com/iar-compilation - 2022-12-27
Release Notes CRED Release 2022.09 ©2022. FINRA All rights reserved. As of 10/28/2022 Page 1 of 1 SUMMARY IMPACTED SYSTEM AREA COMMUNITY IARD Effective September 19, 2022, Investment Advisers registered with SEC will be able to submit Form ADV-NR via …
https://www.iard.com/cred-2022-09-external-release-notes - 2022-11-03