The following are URLs (Internet addresses) to access the IARD and Web CRD systems. (Please note that you will be required to enter your system user name and password to enter these websites).
- IARD https://crd.finra.org/iad
- Web CRD https://crd.finra.org
FINRA, the operator of the IARDTM system, is developing FINRA Gateway, a new platform that will consolidate the compliance work currently performed across multiple FINRA-administered systems. Learn more about IA system access, including timelines and features, on the FINRA Gateway page.
Below you will find the steps outlined for registering online via IARD and Web CRD and links that provide more detailed information for each step.
Steps To Registering Online:
Step 1 - Entitlement: IARD and Web CRD are secure systems. Your firm may request access to use them from FINRA through a process called Entitlement.
Step 2 - Accounting: After your firm is entitled to use the systems by FINRA, fund your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). Your firm must have sufficient funds in order to submit filings through the systems.
Step 3 - Online Registration:
- Investment Adviser (IA) Firms
- Form Filing: IA Firm Registration - Includes information regarding the filing types for firms, a link to the current version of the ADV forms, and user support tools available to help guide you through a filing.
- New York IA Representative Registration: Effective February 1, 2021 - The State of New York (NY) began registering IA Representatives (IARs) in CRD. See the full announcement for details about NY’s offline mass registration process to obtain RA registration in NY, in lieu of filing online through CRD, FINRA Gateway, or via Web EFT. This offline process will only be available beginning February 1 through July 30, 2021.
- ADV Part 2 Guidance - Information to assist firms with uploading a brochure as part of Form ADV.
- ADV Part 3 Guidance - Information to assist Investment Adviser firms and Dual BD/IA firms with retail on both sides with uploading a relationship summary (Form CRS) as part of Form ADV.
- Investment Adviser Representatives
- Form Filing: IA Representative Registration - Includes information regarding filing types for IA representatives, a link to the current version of the Uniform Forms U4 and U5, and user support tools available to help guide you through a filing.
Qualifying As An IA Representative (RA) Registration - There are qualification requirements for an individual to register as an IA representative.
Professional Designations & IA Representative (RA) Registration - Many states accept certain professional designations as a basis for waiving a qualifying exam requirement or to serve as an alternate qualification for registration as an IA representative (RA).
Dual Registrations - States have differing policies regarding dual registrations. It is recommended that you check with the jurisdiction with which you are seeking registration for additional clarification.
For Additional Help:
SEC-registered investment advisers may contact SEC staff at [email protected] for regulatory issues.
The IARD system is designed to make electronic filing easy and most investment advisers submit their electronic filings through the IARD system without outside help. However, if you prefer, you can hire a service bureau to assist in the preparation and electronic submission of filings on the IARD system.
Per the SEC, electing to use a service bureau does not relieve an investment adviser of its legal and regulatory responsibilities under the federal securities laws, including the timely submission of complete and accurate filings.