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©2020. 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-pf-filing-online-reference-guide - 2016-06-10
©2020. 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-pf-xml-upload-reference-guide - 2016-06-10
©2024. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. PFRD System Frequently Asked Questions General Questions 1. How do I obtain production PFRD Entitlement? Answer: Each Investment …
https://www.iard.com/pfrd-system-frequently-asked-questions - 2016-06-10
IARD System Support (Phone Numbers/E-mail Addresses) User Support The SEC and many states allow an Investment Adviser to request one of two types of Hardship Exemptions by submitting a paper Form ADV-H. A Temporary Hardship Exemption permits the …
https://www.iard.com/hardship-exemptions - 2016-06-10
Copyright Notices The works of authorship contained in this World Wide Web site (the "Site"), including but not limited to all design, text and images are owned, except as otherwise expressly stated, by the Financial Industry Regulatory Authority, Inc. …
https://www.iard.com/legal-notices - 2016-06-10
The IARD system is sponsored by the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) . Each maintains a Web Site that contains important information for Investment Adviser firms. Federally …
https://www.iard.com/sponsors - 2016-06-10
Your firm’s Renewal Account is the account your firm uses to pay its annual renewal fees for state registrations and/or notice filings. Firms may submit their IA firm renewal payments by the following methods: Electronic Payment via E-Bill ACH or Wire …
https://www.iard.com/iard-renewal-program-payment-options-and-addresses - 2016-06-09
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
IA Comment Request Form Individuals who currently are not registered as an Investment Adviser Representative (IAR), but for whom an Investment Adviser Public Disclosure (IAPD) report is available, may submit an Investment Adviser (IA) Comment Request Form …
https://www.iard.com/investment-adviser-ia-comment-request-form - 2016-06-09
General Instructions Instructions for Part 1A OMB Approval OMB Number: 3235-0049 Estimated average burden per response: 23.77 hours Federal Information Law and Requirements Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize …
https://www.iard.com/form-adv-part-1-instructions-0 - 2016-06-09