What is changing with the Form ADV, ADV-W, and ADV-E migration to FINRA Gateway?
This initiative includes migration of Form ADV filings, both initial and amended, for SEC-registered, state-registered, SEC-ERAs, state-ERAs, and state Notice filings to FINRA Gateway, instead of the classic IARD system.
This initiative is not driven by a regulatory rule change. The questions on the forms are not changing or requesting new or different information. Filers should expect a modernized user experience.
What is not included in the migration to FINRA Gateway?
This initiative will not include XML submissions, standard submission interface (SSI), or API functionality.
When will the Form ADV migration to FINRA Gateway occur?
The Form ADV migration, initially planned for 2026, will not occur this calendar year. The initiative release date has been deferred to incorporate a modern experience into the functionality before it goes live in FINRA Gateway.
FINRA will post key milestone dates and supporting resources on IARD.com as they become available.
The SEC, state securities regulators, and FINRA will be mindful of other important filing deadlines (e.g., annual updating amendments) when determining the appropriate release date.
Is FINRA collaborating with others on this initiative?
Throughout this effort, FINRA is collaborating with the SEC, state securities regulators, and NASAA to ensure alignment with regulatory requirements.
FINRA welcomes the involvement of industry participants to conduct user acceptance testing as well. Interested participants should contact [email protected] to learn more.
Will user credentials remain the same?
Yes. Filers will use the same user credentials to log in to FINRA Gateway that they use to log in to classic IARD. System entitlements will work the same in FINRA Gateway, so no changes will be required as part of this initiative.