Searched for:
Showing 21 to 30 of 117 results
2023 Investment Adviser Renewal Bulletin This document provides firms with information about the Annual Renewal Program. You can select a link below to review specific information about a step in the renewal process. If you are new to the renewal process, …
https://www.iard.com/2023-iard-renewal-bulletin - 2022-10-19
©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
2023 Renewal Program Calendar October 2022 Mon, 10/03 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 individuals …
https://www.iard.com/renewal-program-calendar-2023 - 2022-08-19
EXAMPLE_PF_AMEND.xml PF-AMEND Q 2012-03-31 1 1111111 22 333 RGSTD_ERA 555555 SMITH RELATED EXAMPLE CORP 801 55555 bbbb-bbbb cccc CPO_CTA CPO/CTA INC. 9999999 cccccc dddd RELY_SPV My Relying Adviser Name aaaaaaaaaaaaaaa aaaaa John Smith /S/(Signature of …
https://www.iard.com/form-pf-schema-documentation-0 - 2022-06-14
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 2022 Investment Adviser Renewal Bulletin This document provides firms with information about the Annual Renewal Program. You can select a link below to review specific information about a step in the renewal process. If you are new to the renewal …
https://www.iard.com/2022-iard-renewal-bulletin - 2021-11-05
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
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