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Branch Office Fees Registration/Notice Filing/ERA Fees IA Settings and Standard Fees* Set Notice filings to "Reviewed" or "Received"? Registration Fee Registration Renewal Fee Notice Filing Fee Notice Filing Renewal Fee Branch Mass Transfer Fee IA Branch …
https://www.iard.com/ia-firm-state-registrationnotice-filing-fee-schedule - 2023-07-01
PFRD TM Form PF XML Filing Guide Release 2023.01 Table of Contents Preface Change History How To Submit XML Filings Introduction Filing XML Interactively Via the PFRD Website Filing XML Programmatically Via the PFRD Web Service Filing Schema Overview Web …
https://www.iard.com/formpfxmlfilingguidepdf - 2023-01-05
Release Notes CRED Release 2022.09 ©2022. FINRA All rights reserved. As of 10/28/2022 Page 1 of 1 SUMMARY IMPACTED SYSTEM AREA COMMUNITY IARD Effective September 19, 2022, Investment Advisers registered with SEC will be able to submit Form ADV-NR via …
https://www.iard.com/cred-2022-09-external-release-notes - 2022-11-03
Release Notes CRED Release 2022.11 ©2022. FINRA All rights reserved. As of 10/31/2022 Page 1 of 1 SUMMARY IMPACTED SYSTEM AREA COMMUNITY IARD Effective November 4, 2022, Form ADV completeness checks for Item 5.L fields related to marketing activities will …
https://www.iard.com/cred-2022-11-external-release-notes - 2022-11-03
©2023. 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-adv-nr - 2022-09-30
For Testing Purposes Only ©2022. FINRA All rights reserved. As of May 19, 2022 Page 1 of 12 PFRD Service Migration to OAuth 2.0 Purpose FINRA is moving all application authentication from basic authentication to OAuth 2.0 based to enhance security across …
https://www.iard.com/pfrd-service-migration-oauth-20 - 2022-06-03
To: Investment Adviser Firms Filing Reports or Registering with the SEC From: FINRA Registration and Disclosure Department Re: The IARD/PFRD Entitlement Process FINRA welcomes you to the Investment Adviser Registration Depository (IARD) and/or the Private …
https://www.iard.com/sec-adviser-entitlement-information - 2021-10-28
To: State Investment Adviser Firm From: FINRA Registration and Disclosure Department Re: The IARD Entitlement Process FINRA welcomes you to the Investment Adviser Registration Depository (IARD). All states that register investment advisers and their …
https://www.iard.com/state-registrant-entitlement-information - 2021-10-28
GLOSSARY OF TERMS 1. Advertisement: (i) Any direct or indirect communication an investment adviser makes to more than one person, or to one or more persons if the communication includes hypothetical performance, that offers the investment adviser’s …
https://www.iard.com/glossary - 2021-10-27