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Firm Queues provide notifications to firms concerning an action the SEC and/or state(s) have taken on a firm’s request for registration withdrawal or registration termination, in addition to updates to branch registration/notice filing status. These …
https://www.iard.com/firm-queues-organizations - 2016-06-21
©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/iard-reports - 2016-06-21
©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 or …
https://www.iard.com/iard-view-organization - 2016-06-21
Downloading The Adobe Acrobat Reader Many IARD forms and publications are in the Adobe Acrobat Portable Document Format (PDF) so that the online document is similar to the printed piece that you would receive in the mail. You can view these documents on …
https://www.iard.com/adobe-acrobat-reader - 2016-06-21
FINRA has developed a series of Quick Reference Guides, support tools relating to the functional components of the IARD system. These Guides are designed to be "high level" functional overviews of IARD to assist users in navigating the IARD system. Also, …
https://www.iard.com/quick-reference-guides - 2016-06-21
14 FORM ADV (Paper Version) • UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND • REPORT BY EXEMPT REPORTING ADVISERS Form ADV: Instructions for Part 1A These instructions explain how to complete certain items in Part 1A of Form ADV. 1. Item 1: …
https://www.iard.com/instructions-part-1a - 2016-06-21
The Uniform Branch Office Registration Form, Form BR is available via Web CRD. Form BR replaces the forms used by participating states to register branches, Schedule E of Form BD, and the NYSE Branch Office Application Form. The NASAA website provides …
https://www.iard.com/uniform-branch-office-registration-form-form-br - 2016-06-16
Note: Unless the context clearly indicates otherwise, all terms used in the Form have the same meaning as in the Investment Advisers Act of 1940 and in the General Rules and Regulations of the Commission thereunder (17 Code of Federal Regulations 275). 1. …
https://www.iard.com/form-adv-w-instructions - 2016-06-16
Note: Unless the context clearly indicates otherwise, all terms used in the Form have the same meaning as in the Investment Advisers Act of 1940 and in the General Rules and Regulations of the Commission thereunder (17 Code of Federal Regulations 275). We …
https://www.iard.com/form-adv-w-instructions-0 - 2016-06-16
Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information. Direct Owners and Executive Officers. List below the names …
https://www.iard.com/schedule-direct-owners-and-executive-officers - 2016-06-16