Searched for:
Showing 1 to 5 of 5 results
The North American Securities Administrators Association (NASAA)’s Exam Validity Extension Program for investment adviser representatives (IAR EVEP), allows eligible individuals the opportunity to extend the validity of their Series 65 exam for up to five …
https://www.iard.com/iar-evep - 2023-10-25
Every investment adviser representative (IAR) registered in a jurisdiction that has adopted the model rule is subject to its continuing education (CE) requirements. The mandatory CE program applies to all registered IARs of both state-registered and …
https://www.iard.com/iar-ce - 2021-10-15
Welcome to the IARD TM website. This site gives investment adviser firms and representatives information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser …
https://www.iard.com/welcome-investment-adviser-registration-depository - 2016-07-05
Investment adviser firms must register with the SEC and or state(s) by filing the Form ADV. The SEC has mandated that all federally registered IA firms must make their firm filings electronically via the IARD system. Many states have also mandated …
https://www.iard.com/form-filing-ia-firm-registration - 2016-06-13
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