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(As of 7/30/2018) 2019 Renewal Program Calendar October 2018 Mon., 10/01 Firms should 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 branch offices …
https://www.iard.com/2019-renewal-program-calendar - 2018-08-02
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
1 2018 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/2018-iard-renewal-program-bulletin - 2017-11-05
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 SEC rule changes , a revised version of Form PF will become effective on March 12, 2025. In advance of this, FINRA is publishing an early draft version of the revised Form PF Section 1-4 schema for filers who upload Form PF as an XML file. …
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
1 2017 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/2017-iard-renewal-program-bulletin - 2016-11-09