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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
Investment adviser firms must register with the SEC and or state(s) by filing the Form ADV. The SEC has mandated that all federally registered IA firms must make their firm filings electronically via the IARD system. Many states have also mandated …
https://www.iard.com/form-filing-ia-firm-registration - 2016-06-13
Under Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients with a brochure disclosing information about the firm. The minimum requirements for the brochure are …
https://www.iard.com/form-adv-part-2-iard-system-instructions - 2016-06-13
©2020. 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-pf-filing-online-reference-guide - 2016-06-10
©2020. 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-pf-xml-upload-reference-guide - 2016-06-10
IARD System Support (Phone Numbers/E-mail Addresses) User Support The SEC and many states allow an Investment Adviser to request one of two types of Hardship Exemptions by submitting a paper Form ADV-H. A Temporary Hardship Exemption permits the …
https://www.iard.com/hardship-exemptions - 2016-06-10
Copyright Notices The works of authorship contained in this World Wide Web site (the "Site"), including but not limited to all design, text and images are owned, except as otherwise expressly stated, by the Financial Industry Regulatory Authority, Inc. …
https://www.iard.com/legal-notices - 2016-06-10
The IARD system is sponsored by the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) . Each maintains a Web Site that contains important information for Investment Adviser firms. Federally …
https://www.iard.com/sponsors - 2016-06-10
©2023. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. PFRD System Frequently Asked Questions General Questions 1. How do I obtain production PFRD Entitlement? Answer: Each Investment …
https://www.iard.com/pfrd-system-frequently-asked-questions - 2016-06-10
SEC 1707 (07-17) File 1 of 4 OMB APPROVAL OMB Number: 3235-0049 Expires: August 31, 2020 Estimated average burden hours per response 23.77 FORM ADV (Paper Version) • UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND • REPORT FORM BY EXEMPT …
https://www.iard.com/general-instructions - 2016-06-09