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Every investment adviser representative (IAR) registered in a jurisdiction that has adopted the model rule is subject to its continuing education (CE) requirements. The mandatory CE program applies to all registered IARs of both state-registered and …
https://www.iard.com/iar-ce - 2021-10-15
FINRA, the operator of the IARD TM system , is developing FINRA Gateway, a new platform that will consolidate the compliance work currently performed across multiple FINRA-administered systems. Functionality will be introduced gradually in the new …
https://www.iard.com/finra-gateway - 2021-03-16
The following links are related to the IARD Renewal Program: 2026 Renewal Program Calendar 2026 Renewal Bulletin IA Firm State Registration/Notice Filing Fee Schedule IA Representative State Registration Filing Fee Schedule IARD Accounting Firm Renewal …
https://www.iard.com/renewal-program - 2020-09-10
©2022. 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-part-3-form-crs - 2020-03-23
On June 5, 2019, the Securities and Exchange Commission (the “Commission”) adopted Form CRS and new rules, as well as amendments to its forms and rules, under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Securities Exchange Act of …
https://www.iard.com/form-adv-part-3-iard-system-instructions - 2020-03-23
IARD and PFRD are typically available: Monday through Friday from 5 a.m. to 11 p.m. ET Saturday from 8 a.m. to 6 p.m. ET Sunday from 10 a.m. to 6 p.m. ET Outside of these hours, IARD/PFRD is available in read-only mode. Users can view information but …
https://www.iard.com/iardpfrd-availability-schedule - 2018-06-03
Firms are required to provide complete, up-to-date and accurate information on Form ADV “Filings”. Some of the information required to complete these Filings is personal information. Please review the following guidance on how to protect this …
https://www.iard.com/protecting-personal-information-form-adv-filings - 2018-01-19
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 compliance date to October 1, 2026. Filings due prior to October 1, 2026, must be filed in …
https://www.iard.com/future-pfrd-releases - 2017-07-21
(1) Section 4.A. asks for information about your direct owners and executive officers. (2) Direct Owners and Executive Officers. List below the names of: (a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal …
https://www.iard.com/schedule-r-control-persons-4a-direct-owners-and-executive-officers - 2017-04-17
(1) Section 4.B. asks for information about your indirect owners; you must first complete Section 4.A., which asks for information about your direct owners. (2) Indirect Owners. With respect to each owner listed in Section 4.A. (except individual …
https://www.iard.com/schedule-r-control-persons-4b-indirect-owners - 2017-04-17