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©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
1 To: Investment Adviser Firms Filing Reports or Registering with the SEC From: FINRA Registration and Disclosure Department Re: The IARD/PFRD Entitlement Process Welcome to the Investment Adviser Registration Depository (IARD) and/or the Private Fund …
https://www.iard.com/sec-adviser-entitlement-information - 2021-10-28
1 To: State Investment Adviser Firm From: FINRA Registration and Disclosure Department Re: The IARD Entitlement Process Welcome 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
Investment Adviser Representative CE Firm Due Dates Effective May 21, firms can opt in to set an internal due date for NASAA’s Investment Adviser Representative CE (IAR CE) coursework completion that is earlier than the program’s annual Dec. 31 deadline. …
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: 2027 Renewal Program Calendar IA Firm State Registration/Notice Filing Fee Schedule IA Representative State Registration Filing Fee Schedule IARD Accounting Firm Renewal Report FINRA E-Bill User …
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