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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
The purpose of these Release Notes is to provide an explanation of changes to the IARD and Web CRD systems as a result of software releases. You will find the different areas or applications of IARD affected, the changes and enhancements implemented with …
https://www.iard.com/system-updates-release-notes - 2017-04-06
©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 - 2016-10-11
Welcome to the IARD website. This site provides investment adviser firms and representatives with information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser …
https://www.iard.com/investment-adviser-registration-depository - 2016-07-05
©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/iard-reports - 2016-06-21