Iard.com Website Review

Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD. The system has been developed according to the requirements of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators As*ociation (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms. Information about investment advisers for the investing public can be found on the Investment Adviser Public Disclosure Please look to this area of the home page on a frequent basis for regular updates, new information, and docu*ents about how to use IARD. must be available in the Flex-Funding or Renewal account on Mon., Jan. 21, in order to be on time. Overpayments were transferred to Flex-Funding Accounts on Jan. 2; firms with a credit balance may submit a refund request use this guide, in conjunction with the Renewals - Firm Renewal Report and Do*nload available in IARD Reports FINRA has moved the Annual User Accounts Certification Process to the second quarter and extended the certification period from 30 days to approximately 60 days for convenience to firms. During this period, Super Account Administrators (SAAs) for firms with more than one user must certify that users at their firm who require access to applications in FINRA’s Entitlement Program have only those entitlement privileges required to perform their job responsibilities and to delete accounts for users who no longer require access. Please and Finance has made available a new online portal that allows broker-dealer and investment adviser firms to electronically submit