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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
1. What is the URL (or Internet address) for the IARD application? The URL is https://www.crd.finra.org/iad . 2. What are the Web browser recommendations for using IARD and Web CRD? Visit the Upgrade Your Web Browser page on the FINRA.org website to see …
https://www.iard.com/iard-system-frequently-asked-questions-general - 2016-06-21
The following links to Frequently Asked Questions address technical and navigational questions about the IARD system, entitlement of your firm's IARD User Account, and administration of your firm's FINRA Flex-Funding Account. If you have questions …
https://www.iard.com/iard-system-frequently-asked-questions - 2016-06-21
In December 2009, the SEC approved amendments to the custody rule under the Investment Advisers Act of 1940 and related forms. The amendments, among other things, require certain registered invest- ment advisers that have custody of client funds or …
https://www.iard.com/independent-public-accountants-guide-form-adv-e-surprise-examination-filing - 2016-06-21