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the public
FILING ONLINE
Steps To Registering Online: Step 1 - Entitlement: IARD and Web CRD are secure systems. Your firm may request access to use them from FINRA through a process called Entitlement. Step 2 - Accounting: After your firm is entitled to use the systems by FINRA, fund your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). INVESTMENT ADVISER ACCOUNTING AND PAYMENT METHODS Investment Adviser (IA) firms that utilize FINRA systems for various regulatory activities may be subject to the assessment of certain fees. FINRA’s electronic billing system, E-Bill, facilitates the collection and disbursement of fees through: The Flex-Funding Account, the account that enables day-to-day registration transactions to occur, and; The Renewal Account, which is only activeFEES & ACCOUNTING
FEES AND ACCOUNTING. IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also setup for that firm.
FORM ADV PART 1 INSTRUCTIONS Sections 203 and 204 of the Advisers Act authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt FORM ADV PART 3 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 3 (IARD System Instructions) On June 5, 2019, the Securities and Exchange Commission (the “Commission”) adopted Form CRS and new rules, as well as amendments to its forms and rules, under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Securities Exchange Act of 1934 (“Exchange Act”).DUAL REGISTRATIONS
Dual Registrations. Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which you SCHEDULE A - DIRECT OWNERS AND EXECUTIVE OFFICERS Schedule A - Direct Owners and Executive Officers. 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 of: each Chief Executive Officer, Chief FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. SCHEDULE B - INDIRECT OWNERS Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below: in the case of an owner that is acorporation
WELCOME TO THE INVESTMENT ADVISER REGISTRATION Welcome to the IARD TM 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, andthe public
FILING ONLINE
Steps To Registering Online: Step 1 - Entitlement: IARD and Web CRD are secure systems. Your firm may request access to use them from FINRA through a process called Entitlement. Step 2 - Accounting: After your firm is entitled to use the systems by FINRA, fund your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). INVESTMENT ADVISER ACCOUNTING AND PAYMENT METHODS Investment Adviser (IA) firms that utilize FINRA systems for various regulatory activities may be subject to the assessment of certain fees. FINRA’s electronic billing system, E-Bill, facilitates the collection and disbursement of fees through: The Flex-Funding Account, the account that enables day-to-day registration transactions to occur, and; The Renewal Account, which is only activeFEES & ACCOUNTING
FEES AND ACCOUNTING. IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also setup for that firm.
FORM ADV PART 1 INSTRUCTIONS Sections 203 and 204 of the Advisers Act authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt FORM ADV PART 3 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 3 (IARD System Instructions) On June 5, 2019, the Securities and Exchange Commission (the “Commission”) adopted Form CRS and new rules, as well as amendments to its forms and rules, under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Securities Exchange Act of 1934 (“Exchange Act”).DUAL REGISTRATIONS
Dual Registrations. Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which you SCHEDULE A - DIRECT OWNERS AND EXECUTIVE OFFICERS Schedule A - Direct Owners and Executive Officers. 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 of: each Chief Executive Officer, Chief FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. SCHEDULE B - INDIRECT OWNERS Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below: in the case of an owner that is acorporation
HOW TO ACCESS IARD
Contact the IARD Call Center: (240) 386-4848. What Follows Once You Have an IARD Account. Covers the remaining steps your firm needs to take once its IARD User Account has been established. What Filing Type Do You Choose. Guidance is provided for determining your PRIVATE FUND REPORTING DEPOSITORY The Private Fund Reporting Depository (PFRD) is a new electronic filing system that facilitates investment adviser reporting of private fund information via Form PF. The U.S. Securities and Exchange Commission (SEC) website provides detailed information regarding the new reporting requirements for certain advisers to private funds.FINRA GATEWAY
FINRA, the operator of the IARD TM system, is developing FINRA Gateway, a new platform that will consolidate the compliance work currently performed across multiple FINRA-administered systems.Functionality will be introduced gradually in the new system, and FINRA plans to ease the transition whenever possible by maintaining both the old and new versions of a filing or tool for a FORM FILING: IA REPRESENTATIVE REGISTRATION Form Filing: New York IA Representative Registration. Effective February 1, 2021, the State of New York (NY) will begin registering Investment Adviser Representatives (IARs) in CRD. On February 1, Forms U4 and U5 will be updated to allow firms to select, under Section 5 of Form U4, RA registration in NY. Web EFT will also be updated but there IARD FIRM SYSTEM PROCESSING FEES Over $100 Million. $225. $225. SEC Exempt Reporting Adviser. $150. $150. Please check the following pages for more information about managing fees assessed through your firm’s Flex-Funding and Renewal accounts: IA Firm fee schedule. WHAT FILING TYPE DO YOU CHOOSE? Choose "File an Initial Report as an Exempt Reporting Adviser with the SEC" if: You would like to file a report with the SEC as an exempt reporting adviser. Note: advisers filing an initial report as an exempt reporting adviser with the SEC may also choose to apply for registration with one or more states and/or file an initial report asan
FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. FORM ADV PART 2 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 2 (IARD System Instructions) Under Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients with a brochure disclosing information about the firm. The minimum requirements for the brochure are set forth in Part 2 of Form ADV.IARD FORM ADV
Form ADV-W Copyright 2017. FINRA Release 2017.09 (September) 2 Full Choose this filing type to withdraw your investment adviser registration from all of the IARD: SEC REGISTRATION QUEUES SEC Registration Queues Copyright 2017. FINRA Release 2017.03 (March) 3 1. Access Registration Queues and select an Outstanding RegistrationQueue
WELCOME TO THE INVESTMENT ADVISER REGISTRATION Welcome to the IARD TM 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, andthe public
FILING ONLINE
Steps To Registering Online: Step 1 - Entitlement: IARD and Web CRD are secure systems. Your firm may request access to use them from FINRA through a process called Entitlement. Step 2 - Accounting: After your firm is entitled to use the systems by FINRA, fund your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). INVESTMENT ADVISER ACCOUNTING AND PAYMENT METHODS Investment Adviser (IA) firms that utilize FINRA systems for various regulatory activities may be subject to the assessment of certain fees. FINRA’s electronic billing system, E-Bill, facilitates the collection and disbursement of fees through: The Flex-Funding Account, the account that enables day-to-day registration transactions to occur, and; The Renewal Account, which is only activeFEES & ACCOUNTING
FEES AND ACCOUNTING. IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also setup for that firm.
FORM ADV PART 1 INSTRUCTIONS Sections 203 and 204 of the Advisers Act authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt FORM ADV PART 3 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 3 (IARD System Instructions) On June 5, 2019, the Securities and Exchange Commission (the “Commission”) adopted Form CRS and new rules, as well as amendments to its forms and rules, under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Securities Exchange Act of 1934 (“Exchange Act”).DUAL REGISTRATIONS
Dual Registrations. Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which you SCHEDULE A - DIRECT OWNERS AND EXECUTIVE OFFICERS Schedule A - Direct Owners and Executive Officers. 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 of: each Chief Executive Officer, Chief FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. SCHEDULE B - INDIRECT OWNERS Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below: in the case of an owner that is acorporation
WELCOME TO THE INVESTMENT ADVISER REGISTRATION Welcome to the IARD TM 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, andthe public
FILING ONLINE
Steps To Registering Online: Step 1 - Entitlement: IARD and Web CRD are secure systems. Your firm may request access to use them from FINRA through a process called Entitlement. Step 2 - Accounting: After your firm is entitled to use the systems by FINRA, fund your firm's FINRA Flex-Funding Account (CRD/IARD Daily Account). INVESTMENT ADVISER ACCOUNTING AND PAYMENT METHODS Investment Adviser (IA) firms that utilize FINRA systems for various regulatory activities may be subject to the assessment of certain fees. FINRA’s electronic billing system, E-Bill, facilitates the collection and disbursement of fees through: The Flex-Funding Account, the account that enables day-to-day registration transactions to occur, and; The Renewal Account, which is only activeFEES & ACCOUNTING
FEES AND ACCOUNTING. IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also setup for that firm.
FORM ADV PART 1 INSTRUCTIONS Sections 203 and 204 of the Advisers Act authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt FORM ADV PART 3 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 3 (IARD System Instructions) On June 5, 2019, the Securities and Exchange Commission (the “Commission”) adopted Form CRS and new rules, as well as amendments to its forms and rules, under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Securities Exchange Act of 1934 (“Exchange Act”).DUAL REGISTRATIONS
Dual Registrations. Many states have differing policies regarding dual registrations of individuals. The information available from the links provided on this page should only be used as general references. It is recommended that you check with the jurisdiction with which you SCHEDULE A - DIRECT OWNERS AND EXECUTIVE OFFICERS Schedule A - Direct Owners and Executive Officers. 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 of: each Chief Executive Officer, Chief FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. SCHEDULE B - INDIRECT OWNERS Schedule B asks for information about your indirect owners; you must first complete Schedule A, which asks for information about your direct owners. Use Schedule C to amend this information. Indirect Owners. With respect to each owner listed on Schedule A (except individual owners), list below: in the case of an owner that is acorporation
HOW TO ACCESS IARD
Contact the IARD Call Center: (240) 386-4848. What Follows Once You Have an IARD Account. Covers the remaining steps your firm needs to take once its IARD User Account has been established. What Filing Type Do You Choose. Guidance is provided for determining your PRIVATE FUND REPORTING DEPOSITORY The Private Fund Reporting Depository (PFRD) is a new electronic filing system that facilitates investment adviser reporting of private fund information via Form PF. The U.S. Securities and Exchange Commission (SEC) website provides detailed information regarding the new reporting requirements for certain advisers to private funds.FINRA GATEWAY
FINRA, the operator of the IARD TM system, is developing FINRA Gateway, a new platform that will consolidate the compliance work currently performed across multiple FINRA-administered systems.Functionality will be introduced gradually in the new system, and FINRA plans to ease the transition whenever possible by maintaining both the old and new versions of a filing or tool for a FORM FILING: IA REPRESENTATIVE REGISTRATION Form Filing: New York IA Representative Registration. Effective February 1, 2021, the State of New York (NY) will begin registering Investment Adviser Representatives (IARs) in CRD. On February 1, Forms U4 and U5 will be updated to allow firms to select, under Section 5 of Form U4, RA registration in NY. Web EFT will also be updated but there IARD FIRM SYSTEM PROCESSING FEES Over $100 Million. $225. $225. SEC Exempt Reporting Adviser. $150. $150. Please check the following pages for more information about managing fees assessed through your firm’s Flex-Funding and Renewal accounts: IA Firm fee schedule. WHAT FILING TYPE DO YOU CHOOSE? Choose "File an Initial Report as an Exempt Reporting Adviser with the SEC" if: You would like to file a report with the SEC as an exempt reporting adviser. Note: advisers filing an initial report as an exempt reporting adviser with the SEC may also choose to apply for registration with one or more states and/or file an initial report asan
FORM ADV-W INSTRUCTIONS Form ADV-W contains two Schedules, Schedule W1 and W2. Your answers to Form ADV-W will determine whether you are required to complete both Schedules, or only Schedule W1. Schedule W1 is a "continuation page" for Item 5 and a "response page" for Item 8. The names of individuals listed on Schedule W1 must be given in full. FORM ADV PART 2 (IARD SYSTEM INSTRUCTIONS) Form ADV Part 2 (IARD System Instructions) Under Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients with a brochure disclosing information about the firm. The minimum requirements for the brochure are set forth in Part 2 of Form ADV.IARD FORM ADV
Form ADV-W Copyright 2017. FINRA Release 2017.09 (September) 2 Full Choose this filing type to withdraw your investment adviser registration from all of the IARD: SEC REGISTRATION QUEUES SEC Registration Queues Copyright 2017. FINRA Release 2017.03 (March) 3 1. Access Registration Queues and select an Outstanding RegistrationQueue
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WELCOME TO THE INVESTMENT ADVISER REGISTRATION DEPOSITORY 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 Association (NASAA), along with those of an Industry Advisory Council representing the investmentadviser firms.
Information about investment advisers for the investing public can be found on the Investment Adviser Public Disclosure(IAPD) website.
IARD/PFRD SYSTEM AVAILABILITY ------------------------- IARD and PFRD are generally available from 5 a.m. to 11 p.m. Eastern Time, Monday through Friday. Please refer to the IARD/PFRD Availability Schedule for detailed weekend and holidayavailability.
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. SYSTEM RELEASE NOTES View explanations of recent and upcoming system changes in the releasenotes linked below:
* Release Notes 2021.05(May
17, 2021)
See the System Updates page for more information. FORM ADV ANNUAL UPDATING AMENDMENT DEADLINE Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) and a fiscal year end of Dec. 31, 2020, are required to submit their annual updating amendment online via IARD by March 31, 2021. Please ensure that your firm has sufficient funds in its FINRA Flex-Funding Account to cover the system processing fee owed in order to submit your amendment filing within the 90 day filing requirement. Please review the payment options and instructions for funding your firm's Flex-Funding Account. If you have questions, please email IARDLIVE@sec.gov. FORM U4 RETIRES IN CLASSIC CRD AND AVAILABLE EXCLUSIVELY IN FINRA GATEWAY STARTING APRIL 5. FORM U5 COMES TO FINRA GATEWAY MAY 17. * THE DEADLINE TO SUBMIT FORM U4 IN WEB CRD IS APRIL 4, 2021. A read-only version will be made available through May 15 for any pending drafts that were not submitted on or before April 4. Firms are encouraged to submit Form U4 drafts in Web CRD, or recreate them in FINRA Gateway, before the April 5 retirement deadline. See the Registration Filing in FINRA Gateway page for more details. ALL OTHER FEATURES IN CLASSIC CRD WILL REMAINAVAILABLE.
*
FORM U5 COMES TO FINRA GATEWAY MAY 17. Firms are encouraged to begin using the FINRA Gateway U5 filing experience and to provide feedback. Form U5 filing functionality in Classic CRD will retire no earlier than August 21, 2021. FINRA'S 2021 ENTITLEMENT USER ACCOUNT CERTIFICATION PROCESS FINRA's 2021 User Accounts Certification Process for Super Account Administrators (SAAs) is scheduled for APRIL 19, 2021 – JULY 19, 2021. During this period, SAAs for firms with more than one user and/or administrator account must certify that authorized users are only entitled to those privileges necessary to perform their job responsibilities on the FINRA Entitlement platform or remove access if no longer required. Organizations with only an SAA account and no other users or administrators have the option to certify but are not required. NEW YORK IAR REGISTRATION * EFFECTIVE FEBRUARY 1, 2021, the State of New York (NY) will begin registering Investment Adviser Representatives (IARs) in CRD. On February 1, Forms U4 and U5 will be updated to allow firms to select, under Section 5 of Form U4, RA registration in NY. Web EFT will also be updated but there are no schema changes as the result of thisupdate.
*
FROM FEBRUARY 1 UNTIL JUNE 30, 2021, NY will offer both noticed and registered NY investment adviser firms an offline “mass registration” process in an effort to help facilitate bulk RA registration. BY UTILIZING THIS OFF-SYSTEM PROCESS, firms can ensure that NASAA’s Series 65 examination windows/enrollments WILL NOT systematically generate in CRD for those individuals who may otherwise be waived by NY from taking (or re-taking) the Series 65. See the full announcement for detailed information.*
BEGINNING FEBRUARY 27, 2021, CRD will be temporarily updated so that windows for NASAA’s Series 65 examination WILL NOT systematically open when NY RA is the ONLY registration requested on the filing (selection of other RA registrations will trigger any necessary exam requirements). If an individual requesting NY RA needs to take the Series 65, the firm will need to explicitly select the exam in Section 7 of Form U4 in order for the enrollment/window to be generated and the applicable fee to be charged. The automatic generation of Series 65 enrollments/windows when NY RA is requested will be re-enabled at afuture time.
ENHANCED ENTITLEMENT SECURITY FEATURE — MULTI-FACTOR AUTHENTICATION(MFA) ROLLOUT
Multi-Factor Authentication (MFA) continues to be rolled out to firms' Super Account Administrators and Account Administrators. In 2020, FINRA began deploying this new security feature as an additional layer of security to verify user identity. MFA is an authentication method in which a user is granted access to FINRA-operated systems (e.g., IARD, CRD) only after successfully providing two pieces of identifyinginformation:
* existing FINRA system (IARD/CRD) credentials (user name andpassword); and
* new MFA security feature (three options to provide second authentication factor): * mobile application,* text message, or
* phone call.
For more information, visit the Multi-Factor Authenticationpage.
PAYROLL PROTECTION PROGRAM AND FORM U4 On April 13, 2020, FINRA issued guidance (found in the Individual Registration Q&A section) stating that a registered person who obtains a loan under the Paycheck Protection Program (PPP) will not have to disclose a “compromise with a creditor” in response to Question 14K on Form U4 if the loan is wholly or partially forgiven under the terms of the PPP. The NASAA CRD/IARD Steering Committee consulted with FINRA regarding this guidance. We concur with it and further advise that the same guidance would apply to Question 14K on Form U4 for an investment adviser representative who obtains a PPP loan. COVID-19 UPDATE FOR INVESTMENT ADVISER REPRESENTATIVE (RA) QUALIFICATION EXAM CANDIDATES COVID-19 guidance on FINRA-administered exams (Series 7, 65 and 66 for RAs*) has been posted. Information regarding test center availability, exam cancellations and enrollment window extensions will be updated as it becomes available. Please check frequently and encourage exam candidates to consult the page before enrolling, scheduling or sitting for their exams. *Please note that FINRA administers state law exams on behalf ofNASAA.
BROWSER SUPPORT UPDATE Beginning April 4, 2020, FINRA will cease to support Internet Explorer 11 for IARD, PFRD and CRD. On or after that date, users will not be able to log in to those applications with an unsupported browser. You can check your current web browser at https://whatsmybrowser.org. You or your firm should upgrade your web browser if it does not meet or exceed the following minimum browser requirements: * Chrome versions 68 or later * Firefox versions 66 or later * Microsoft Edge 16 or later * Safari versions 12 or laterREMINDERS
------------------------- * PROTECT PERSONAL INFORMATION! Remember to only provide personal information about individuals in response to specific questions that solicit that information. When responding to more general questions that accept narrative responses, use terms that do not disclose personal information (including account numbers). Please review the guidance provided on the Protecting Personal Information in Form ADVFilings page for
more information.
* INVESTMENT ADVISER REPRESENTATIVE FINGERPRINT SUBMISSIONS FINRA does not process fingerprint transactions for investment adviser (IA) firms. An IA-only firm must submit fingerprints directly to those states that require a fingerprint check for an RA registration. Contact the applicable stateto
verify state fingerprint requirements. Fingerprint submissions received by FINRA from an IA-only firm will not be returned to thefirm.
* FINRA.ORG: 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, FINRA.org to your firm's safe-sender list as soon as possible. Please review this Subscriptions Help pagefor instructions on
how to add email addresses/domains to your firm’s specific email application. 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: * finracorporatenotification@finra.org * webmaster@magnetmail.net Also, if you are an SEC-registered IA firm, please add: SECIARDNotifications@finra.org * 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 adviserfirm.
* SEC DIVISION OF INVESTMENT MANAGEMENT: ELECTRONIC FILING FOR INVESTMENT ADVISERS ON IARD Visit the SEC websitefor information
on IARD.
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