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Firms are required to provide complete, up-to-date and accurate information on Form ADV “Filings”. Some of the information required to complete these Filings is personal information. Please review the following guidance on how to protect this …
https://www.iard.com/protecting-personal-information-form-adv-filings - 2018-01-19
1 2018 Investment Adviser 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. If you are new to the renewal …
https://www.iard.com/2018-iard-renewal-program-bulletin - 2017-11-05
EXAMPLE_PF_AMEND.xml PF-AMEND Q 2012-03-31 1 1111111 22 333 RGSTD_ERA 555555 SMITH RELATED EXAMPLE CORP 801 55555 bbbb-bbbb cccc CPO_CTA CPO/CTA INC. 9999999 cccccc dddd RELY_SPV My Relying Adviser Name aaaaaaaaaaaaaaa aaaaa John Smith /S/(Signature of …
https://www.iard.com/draft-form-pf-schema-documentation - 2017-10-30
As a result of SEC rule changes , a revised version of Form PF will become effective on March 12, 2025. In advance of this, FINRA is publishing an early draft version of the revised Form PF Section 1-4 schema for filers who upload Form PF as an XML file. …
https://www.iard.com/future-pfrd-releases - 2017-07-21
(1) Section 4.A. asks for information about your direct owners and executive officers. (2) Direct Owners and Executive Officers. List below the names of: (a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal …
https://www.iard.com/schedule-r-control-persons-4a-direct-owners-and-executive-officers - 2017-04-17
(1) Section 4.B. asks for information about your indirect owners; you must first complete Section 4.A., which asks for information about your direct owners. (2) Indirect Owners. With respect to each owner listed in Section 4.A. (except individual …
https://www.iard.com/schedule-r-control-persons-4b-indirect-owners - 2017-04-17
The purpose of these Release Notes is to provide an explanation of changes to the IARD and Web CRD systems as a result of software releases. You will find the different areas or applications of IARD affected, the changes and enhancements implemented with …
https://www.iard.com/system-updates-release-notes - 2017-04-06
1 2017 Investment Adviser 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. If you are new to the renewal …
https://www.iard.com/2017-iard-renewal-program-bulletin - 2016-11-09
©2022. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration …
https://www.iard.com/form-adv - 2016-10-11
firm_compilation/Compilation Report PD_XML_Guide.pdf Investment Adviser Public Disclosure IA Representative Compilation Reports - XML Guide Release 2021.10 Complex Type: Schema Component Type AddrType Schema Component Name Table of Contents Introduction …
https://www.iard.com/firm-compilation - 2016-08-03