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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
Important Information Regarding a Firm's First IARD Filing Choose "Apply for registration as an investment adviser with the SEC" if: You would like to submit an application to register with the SEC as an investment adviser. Choose "Apply for registration …
https://www.iard.com/what-filing-type-do-you-choose - 2016-06-09
General Instructions Instructions for Part 1A OMB Approval OMB Number: 3235-0049 Estimated average burden per response: 23.77 hours Federal Information Law and Requirements Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize …
https://www.iard.com/form-adv-part-1-instructions-0 - 2016-06-09