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Individuals requesting registration as an IA representative (RA registration position) may qualify in several ways if: the individual maintains an existing registration as an IA representative (RA), by fulfilling examination requirements, or by holding a …
https://www.iard.com/qualifying-ia-representative-ra-registration - 2016-06-14
Many states participating in the electronic registration of IA representatives (RAs) will accept certain professional designations as a basis for waiving a qualifying exam requirement or serve as an alternate qualification for a registration as an IA …
https://www.iard.com/professional-designations-ia-representative-ra-registration - 2016-06-14
Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which …
https://www.iard.com/dual-registrations - 2016-06-14
Understanding Your Registration Account 1. I work for a joint Investment Adviser/Broker-Dealer (IA/BD) firm. Do we have separate financial accounts for registration requests? No. A joint firm has one shared registration account, the Flex-Funding Account …
https://www.iard.com/iard-system-frequently-asked-questions-accounting - 2016-06-14
General IA Firm FAQs Specific subcategories: ADV Part II Completeness Check Schedule A/B General 1. Will I receive any type of notification or reminder when my next filing is due? Although firms are responsible for maintaining their own filing calendars, …
https://www.iard.com/iard-system-frequently-asked-questions-form-filing-ia-firms - 2016-06-14
Investment adviser firms must register with the SEC and or state(s) by filing the Form ADV. The SEC has mandated that all federally registered IA firms must make their firm filings electronically via the IARD system. Many states have also mandated …
https://www.iard.com/form-filing-ia-firm-registration - 2016-06-13
Under Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients with a brochure disclosing information about the firm. The minimum requirements for the brochure are …
https://www.iard.com/form-adv-part-2-iard-system-instructions - 2016-06-13
CRD allows IA firms to create and submit electronic filings of Forms U4 and U5 to fulfill the state regulatory registration requirements of investment adviser representatives (RAs). IA firms should register their IA representatives electronically in CRD …
https://www.iard.com/form-filing-ia-representative-registration - 2016-06-13
©2020. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/form-pf-filing-online-reference-guide - 2016-06-10
©2020. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/form-pf-xml-upload-reference-guide - 2016-06-10