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2026 Renewal Program Calendar October 2025 Mon., 10/06 FINRA suggests firms review their registered persons in FINRA Gateway to ensure that they have properly and timely reported all appropriate information and that all open branch offices have …
https://www.iard.com/2026-renewal-program-calendar - 2024-08-14
The North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for investment adviser representatives (IAR EVEP), allows eligible individuals the opportunity to extend the validity of their Series 65 exam for up to five …
https://www.iard.com/iar-evep - 2023-10-25
2024 Renewal Program Calendar October 2023 Mon., 10/02 FINRA suggests firms review their registered persons in FINRA Gateway to ensure that they have properly and timely reported all appropriate information and that all open branch offices have …
https://www.iard.com/2024-renewal-program-calendar - 2023-08-14
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