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Important Information Regarding a Firm's First IARD Filing Choose "Apply for registration as an investment adviser with the SEC" if: You would like to submit an application to register with the SEC as an investment adviser. Choose "Apply for registration …
https://www.iard.com/what-filing-type-do-you-choose - 2016-06-09
This page includes links to information that will provide users of IARD with guidance regarding the IARD system and making electronic filings. Form Instructions: Important Information Regarding a Firm's First IARD Filing Form ADV Part 2 Instructions Form …
https://www.iard.com/help-and-training - 2016-06-09
Does FINRA mail Preliminary and Final Statements? Are there any changes to the Renewal Program that my firm should be aware of? What renewal fees will be reflected on my firm's renewal statement? I logged onto E-Bill to retrieve my firm's Preliminary …
https://www.iard.com/iard-system-frequently-asked-questions-renewal-program - 2016-06-09
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
Your firm’s Renewal Account is the account your firm uses to pay its annual renewal fees for state registrations and/or notice filings. Firms may submit their IA firm renewal payments by the following methods: Electronic Payment via E-Bill ACH or Wire …
https://www.iard.com/iard-renewal-program-payment-options-and-addresses - 2016-06-09
FINRA tracks individuals on active military duty as part of Web CRD/IARD. This information is maintained in the system and is made available to regulators and the registering firm. For any questions concerning registration or licensing relief, the firm …
https://www.iard.com/active-military-leave-guidance - 2016-06-09
The IA Comment Process permits eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in IAPD . On this page you will find information on eligibility, the IA Comment Request Form, and …
https://www.iard.com/investment-adviser-comment-request-form - 2016-06-09
IA Comment Request Form SECTION 1 First Name: Middle Initial: Last Name: Address: City: State: Zip Code: Individual CRD#: Phone Number: SECTION 2 Please update/clarify the following section(s) of my IAPD report (check all that apply and provide your …
https://www.iard.com/investment-adviser-ia-comment-request-form - 2016-06-09
Investment advisers are regulated by the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (Advisers Act) and by the states under their respective statutes. Prior to 1996, most Investment Advisers were required to register …
https://www.iard.com/regulatory-and-legal-information-about-iard - 2016-06-08
IARD System Support User Support Hardship Exemptions We are aware that you may require support as you familiarize yourself with IARD. The following are various resources to assist you. Important Contacts For IARD Support Type Of Question Who To Contact …
https://www.iard.com/contact-us - 2016-06-01