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The IARD system has three objectives: (1) to create a regulatory system for Investment Advisers to improve overall regulation of advisers, (2) to make information about Investment Advisers available to the public, and (3) to provide Investment Advisers an …
https://www.iard.com/what-iard - 2016-06-01
For information related to IARD and state-specific investment adviser filing requirements, view a listing of state offices on NASAA’s website. SEC-registered Investment Advisers may obtain regulatory-related information through the SEC website or by …
https://www.iard.com/directories - 2016-06-01
IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also set up for …
https://www.iard.com/fees-accounting - 2016-06-01
The following are URLs (Internet addresses) to access the IARD and Web CRD systems. (Please note that you will be required to enter your system user name and password to enter these websites). IARD https://crd.finra.org/iad Web CRD https://crd.finra.org …
https://www.iard.com/filing-online - 2016-06-01
What is PFRD? The Private Fund Reporting Depository (PFRD) is a new electronic filing system that facilitates investment adviser reporting of private fund information via Form PF. The U.S. Securities and Exchange Commission (SEC) website provides detailed …
https://www.iard.com/welcome-private-fund-reporting-depository - 2016-06-01
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
The FINRA Entitlement Program provides authorized users a secure means to access participating applications with a single user ID and password. Once an investment adviser (IA) firm completes the entitlement process, it will obtain access to the IARD …
https://www.iard.com/how-access-iard - 2016-06-01
This page provides documentation regarding the PFRD system and making electronic Form PF filings. As a result of Commission action , June 12, 2025 is now the compliance date of the amended version of Form PF in FINRA Gateway. Any pending Form PF filings …
https://www.iard.com/pfrd-user-support - 2016-06-01
Investment adviser (IA) firms that use FINRA systems for regulatory activities may be assessed for certain fees. FINRA’s electronic billing system, E-Bill , facilitates the collection and disbursement of fees through: The Flex-Funding Account , the …
https://www.iard.com/investment-adviser-accounting-and-payment-methods - 2016-05-16
Last updated on: 11/6/20 In order for a firm to use IARD, the firm must deposit funds into its Flex-Funding account for licensing and registration fees before filing electronically. Your firm should have enough funds on deposit to cover any applicable …
https://www.iard.com/ia-representative-ra-system-processing-fees - 2015-11-12