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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
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
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
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
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
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
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
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. The compliance date of the amended version of Form PF in FINRA Gateway has been postponed and is no longer October 1, 2025. The SEC and the CFTC extended the …
https://www.iard.com/pfrd-user-support - 2016-06-01