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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/iard-reports - 2016-06-21
IARD View Organization …
https://www.iard.com/iard-view-organization - 2016-06-21
Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information. Direct Owners and Executive Officers. List below the names …
https://www.iard.com/schedule-direct-owners-and-executive-officers - 2016-06-16
Complete Schedule B only if you are submitting an initial application. Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this …
https://www.iard.com/schedule-b-indirect-owners - 2016-06-16
The Uniform Branch Office Registration Form, Form BR is available via Web CRD. Form BR replaces the forms used by participating states to register branches, Schedule E of Form BD, and the NYSE Branch Office Application Form. The NASAA website provides …
https://www.iard.com/uniform-branch-office-registration-form-form-br - 2016-06-16
Note: Unless the context clearly indicates otherwise, all terms used in the Form have the same meaning as in the Investment Advisers Act of 1940 and in the General Rules and Regulations of the Commission thereunder (17 Code of Federal Regulations 275). 1. …
https://www.iard.com/form-adv-w-instructions - 2016-06-16
Note: Unless the context clearly indicates otherwise, all terms used in the Form have the same meaning as in the Investment Advisers Act of 1940 and in the General Rules and Regulations of the Commission thereunder (17 Code of Federal Regulations 275). We …
https://www.iard.com/form-adv-w-instructions-0 - 2016-06-16
General IA Representative FAQs Specific subcategories: Disclosure Dually Registered Representatives and/or IA Representatives with Affiliated Firms Fingerprint Cards Qualifications (including Exams & Professional Designations) Relicensing General 1. What …
https://www.iard.com/iard-system-frequently-asked-questions-form-filing-ia-representatives - 2016-06-15
Individuals requesting registration as an IA representative (RA registration position) may qualify in several ways if: the individual maintains an existing registration as an IA representative (RA), by fulfilling examination requirements, or by holding a …
https://www.iard.com/qualifying-ia-representative-ra-registration - 2016-06-14
Many states participating in the electronic registration of IA representatives (RAs) will accept certain professional designations as a basis for waiving a qualifying exam requirement or serve as an alternate qualification for a registration as an IA …
https://www.iard.com/professional-designations-ia-representative-ra-registration - 2016-06-14