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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 Individuals who currently are not registered as an Investment Adviser Representative (IAR), but for whom an Investment Adviser Public Disclosure (IAPD) report is available, may submit an Investment Adviser (IA) Comment Request Form …
https://www.iard.com/investment-adviser-ia-comment-request-form - 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
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
Once the Account Administrator(s) and the firm's users have been entitled to IARD, your firm should: Send funds to your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). Funds must be on deposit in your Flex-Funding Account before you can submit …
https://www.iard.com/what-follows-once-you-have-iard-account - 2016-06-09
On June 23, 2008, FINRA implemented a new information security feature that restricts access to Social Security numbers (SSNs) through a specific entitlement in Web CRD and IARD. Only those individuals who are entitled with the new privilege—"View …
https://www.iard.com/view-individual-ssns-entitlement-privilege - 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
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
The information on this page is relevant to the 2025 Renewal Program, which ended Jan. 24, 2025. Check back in early fall 2025 for dates and other details pertaining to the 2026 Renewal Program. Does FINRA mail Preliminary and Final Statements? Are there …
https://www.iard.com/iard-system-frequently-asked-questions-renewal-program - 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