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What is investment advisor

what is investment advisor

What’s New on IARD

Please look to this area of the home page on a frequent basis for regular updates, new information, and documents about how to use IARD. IARD is generally available from 5 a.m. to 11 p.m. Eastern Time (ET), Monday through Friday. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.

  • Annual Updating Amendments

Investment advisors registered with the U.S. Securities and Exchange Commission (SEC) are generally required to submit their annual updating amendments within 90 days of their firms' fiscal year-end. If your firm's fiscal year ended on December 31, 2014, and your firm is required to submit an annual updating amendment online via IARD by March 31, 2015, please ensure that your firm has sufficient funds in its FINRA Flex-Funding Account to cover the system processing fee owed. Please review the payment options and instructions for funding your firm's Flex-Funding Account.

  • Web CRD/IARD Software Release 2015.1

    View an explanation of changes to Web CRD, IARD, PFRD and BrokerCheck which were implemented with the software release on March 14, 2015.

  • Form ADV-E Guidance for Independent Public Accountants

    A quick reference guide to the Form ADV-E Surprise Examination Filing Website is now available for independent public accountants conducting a surprise inspection of an investment adviser firm.

  • Add to Safe-Sender Email List

    FINRA is the operator of IARD on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, to your firm's safe-sender list as soon as possible. If your email application requires you to enter individual email addresses to your safe-sender list in addition to, or in lieu of, an email domain, please add the following addresses:

    Also, if you are an SEC-registered IA firm, please add:

  • SEC Hedge Fund Rule Update:

    Visit the SEC website for information on Staff Guidance for Interim Completion of Part 1A of Form ADV, Item 7.B. and Schedule D, Section 7.B. what is investment advisor

  • Source:
    Category: Forex

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