Searched for:
Showing 71 to 80 of 117 results
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
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
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 have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which …
https://www.iard.com/dual-registrations - 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
General IA Firm FAQs Specific subcategories: ADV Part II Completeness Check Schedule A/B General 1. Will I receive any type of notification or reminder when my next filing is due? Although firms are responsible for maintaining their own filing calendars, …
https://www.iard.com/iard-system-frequently-asked-questions-form-filing-ia-firms - 2016-06-14
Understanding Your Registration Account 1. I work for a joint Investment Adviser/Broker-Dealer (IA/BD) firm. Do we have separate financial accounts for registration requests? No. A joint firm has one shared registration account, the Flex-Funding Account …
https://www.iard.com/iard-system-frequently-asked-questions-accounting - 2016-06-14
CRD allows IA firms to create and submit electronic filings of Forms U4 and U5 to fulfill the state regulatory registration requirements of investment adviser representatives (RAs). IA firms should register their IA representatives electronically in CRD …
https://www.iard.com/form-filing-ia-representative-registration - 2016-06-13