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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 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
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
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 Scheduled exceptions to the system availability are provided below. For information about unscheduled …
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
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/draft-form-pf-schema-documentation - 2017-10-30
The compliance date of the amended version of Form PF in FINRA Gateway has been postponed and is no longer June 12, 2025. The SEC and the CFTC extended the compliance date to October 1, 2025. Filings due prior to October 1, 2025, must be filed in PFRD. …
https://www.iard.com/future-pfrd-releases - 2017-07-21