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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
General Instructions Instructions for Part 1A OMB Approval OMB Number: 3235-0049 Estimated average burden per response: 23.77 hours Federal Information Law and Requirements Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize …
https://www.iard.com/form-adv-part-1-instructions-0 - 2016-06-09
1 2016 IARD Renewal Bulletin This document provides firms with information about the annual renewal program. You can select a link below to review specific information about a step in the renewal process or if you are new to the renewal process, it will …
https://www.iard.com/2016-iard-renewal-program-bulletin - 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
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
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