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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
©2024. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. PFRD System Frequently Asked Questions General Questions 1. How do I obtain production PFRD Entitlement? Answer: Each Investment …
https://www.iard.com/pfrd-system-frequently-asked-questions - 2016-06-10
IARD System Support (Phone Numbers/E-mail Addresses) User Support The SEC and many states allow an Investment Adviser to request one of two types of Hardship Exemptions by submitting a paper Form ADV-H. A Temporary Hardship Exemption permits the …
https://www.iard.com/hardship-exemptions - 2016-06-10
The IARD system is sponsored by the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) . Each maintains a Web Site that contains important information for Investment Adviser firms. Federally …
https://www.iard.com/sponsors - 2016-06-10
Copyright Notices The works of authorship contained in this World Wide Web site (the "Site"), including but not limited to all design, text and images are owned, except as otherwise expressly stated, by the Financial Industry Regulatory Authority, Inc. …
https://www.iard.com/legal-notices - 2016-06-10
Once the Account Administrator(s) and the firm's users have been entitled to IARD, your firm should: Send funds to your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). Funds must be on deposit in your Flex-Funding Account before you can submit …
https://www.iard.com/what-follows-once-you-have-iard-account - 2016-06-09