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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
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
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
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
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
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
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