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©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
firm_compilation/Compilation Report PD_XML_Guide.pdf Investment Adviser Public Disclosure IA Representative Compilation Reports - XML Guide Release 2021.10 Complex Type: Schema Component Type AddrType Schema Component Name Table of Contents Introduction …
https://www.iard.com/firm-compilation - 2016-08-03
Welcome to the IARD TM website. This site gives investment adviser firms and representatives information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser …
https://www.iard.com/welcome-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
©2017. 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/adv-part-2-regulatory-user - 2016-06-21
©2017. 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/state-queues-organizations - 2016-06-21
©2017. 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/sec-registration-queues-organizations - 2016-06-21
©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-e - 2016-06-21