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This page provides documentation regarding the PFRD system and making electronic Form PF filings. The compliance date of the amended version of Form PF in FINRA Gateway has been postponed and is no longer October 1, 2025. The SEC and the CFTC extended the …
https://www.iard.com/pfrd-user-support - 2016-06-01
Investment adviser (IA) firms that use FINRA systems for regulatory activities may be assessed for certain fees. FINRA’s electronic billing system, E-Bill , facilitates the collection and disbursement of fees through: The Flex-Funding Account , the …
https://www.iard.com/investment-adviser-accounting-and-payment-methods - 2016-05-16
Last updated on: 6/6/18 In order to use IARD, your firm must deposit funds into its Flex-Funding account for licensing and registration fees before filing electronically. For Form ADV filings, a firm must have enough funds on deposit to cover any …
https://www.iard.com/iard-firm-system-processing-fees - 2015-11-12
Last updated on: 11/6/20 In order for a firm to use IARD, the firm must deposit funds into its Flex-Funding account for licensing and registration fees before filing electronically. Your firm should have enough funds on deposit to cover any applicable …
https://www.iard.com/ia-representative-ra-system-processing-fees - 2015-11-12