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©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
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
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
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
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