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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
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
As a result of Commission rule changes , a revised version of Form PF will become effective with a compliance date of June 12, 2025. In advance of this, FINRA has published the revised Form PF Section 1-4 schema for filers who upload Form PF as an XML …
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