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 | Phone Number E-mail Address |
|---|---|---|
| Federally Regulated Investment Adviser Firm questions related to policy, interpretation, or regulatory requirements. | SEC | (202) 551-6999 [email protected] |
| State-Regulated Investment Adviser Firm questions related to policy, interpretation, or regulatory requirements.* | Appropriate State(s) | State Regulator Directory |
| State-Regulated Investment Adviser Firm or Representative questions related to NASAA model rules, the Series 63/65/66 exam questions, or the NASAA website.* | NASAA | (202) 737-0900 |
| Questions regarding the status of filings after submission. | SEC or Appropriate State(s) |
SEC: (202) 551-7250 or State Regulator Directory |
| Questions related to IARD accounting or system entitlement, navigation, and usage and filing. | FINRA Support Center | (240) 386-4848 [email protected] |
*State-specific questions should be directed to the appropriate state regulator.