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2022 Renewal Program Calendar October 2021 Fri., 10/01 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/2022-renewal-program-calendar - 2021-08-26
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
(As of 9/09/2020) 2021 Renewal Program Calendar October 2020 Thu., 10/01 FINRA suggests firms review their registered persons in CRD® to ensure that they have properly and timely reported all appropriate information and that all open branch offices have …
https://www.iard.com/2021-renewal-program-calendar - 2020-09-10
FINRA assists with the collection and disbursement of system processing and jurisdiction-related renewal fees during the Annual Renewal Program. See below for general information and resource pages for complete information. The following links are related …
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
1 2020 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/2020-iard-renewal-program-bulletin - 2019-11-07
(As of 7/29/2019) 2020 Renewal Program Calendar October 2019 Mon., 10/07 FINRA suggests that firms review their registered persons to ensure that they have properly and timely reported all appropriate information to Web CRD® and IARD™ and that all open …
https://www.iard.com/2020-renewal-program-calendar - 2019-10-16
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/pfrd/formpfschemadocumentation - 2019-04-22
1 2019 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/2019-iard-renewal-program-bulletin - 2018-10-26