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1 2016 IARD Renewal Bulletin This document provides firms with information about the annual renewal program. You can select a link below to review specific information about a step in the renewal process or if you are new to the renewal process, it will …
https://www.iard.com/2016-iard-renewal-program-bulletin - 2016-06-09
Does FINRA mail Preliminary and Final Statements? Are there any changes to the Renewal Program that my firm should be aware of? What renewal fees will be reflected on my firm's renewal statement? I logged onto E-Bill to retrieve my firm's Preliminary …
https://www.iard.com/iard-system-frequently-asked-questions-renewal-program - 2016-06-09
SEC 1707 (07-17) File 1 of 4 OMB APPROVAL OMB Number: 3235-0049 Expires: August 31, 2020 Estimated average burden hours per response 23.77 FORM ADV (Paper Version) • UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND • REPORT FORM BY EXEMPT …
https://www.iard.com/general-instructions - 2016-06-09
Your firm’s Renewal Account is the account your firm uses to pay its annual renewal fees for state registrations and/or notice filings. Firms may submit their IA firm renewal payments by the following methods: Electronic Payment via E-Bill ACH or Wire …
https://www.iard.com/iard-renewal-program-payment-options-and-addresses - 2016-06-09
On June 23, 2008, FINRA implemented a new information security feature that restricts access to Social Security numbers (SSNs) through a specific entitlement in Web CRD and IARD. Only those individuals who are entitled with the new privilege—"View …
https://www.iard.com/view-individual-ssns-entitlement-privilege - 2016-06-09
FINRA tracks individuals on active military duty as part of Web CRD/IARD. This information is maintained in the system and is made available to regulators and the registering firm. For any questions concerning registration or licensing relief, the firm …
https://www.iard.com/active-military-leave-guidance - 2016-06-09
The IA Comment Process permits eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in IAPD . On this page you will find information on eligibility, the IA Comment Request Form, and …
https://www.iard.com/investment-adviser-comment-request-form - 2016-06-09
IA Comment Request Form Individuals who currently are not registered as an Investment Adviser Representative (IAR), but for whom an Investment Adviser Public Disclosure (IAPD) report is available, may submit an Investment Adviser (IA) Comment Request Form …
https://www.iard.com/investment-adviser-ia-comment-request-form - 2016-06-09
Investment advisers are regulated by the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (Advisers Act) and by the states under their respective statutes. Prior to 1996, most Investment Advisers were required to register …
https://www.iard.com/regulatory-and-legal-information-about-iard - 2016-06-08
IARD System Support User Support Hardship Exemptions We are aware that you may require support as you familiarize yourself with IARD. The following are various resources to assist you. Important Contacts For IARD Support Type Of Question Who To Contact …
https://www.iard.com/contact-us - 2016-06-01