Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the IARD system. The Investment Adviser Registration Depository (IARD) is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of investment adviser firms. FINRA is the developer and operator of the IARD system. 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 investment adviser firms.
Information geared to the investing public can be found on the SEC website under the “Investor Information” section.
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 the IARD system. IARD is generally available from 7 a.m. to 11 p.m., Eastern Time (ET), Monday through Friday. IARD is not available on FINRA-observed holidays and is not available after 6 p.m., ET, on the business day immediately preceding some holidays. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.
Web CRD/IARD Software Release 2012.2
View an explanation of changes to Web CRD/IARD which will be implemented with software release 2012.2 on May 14, 2012.
New Prometric Testing Center Security Procedure
Effective March 1, 2012, Prometric, one of FINRA's qualification and continuing education testing vendors, will scan candidates with a metal detector wand prior to each entry into a test room. The scanning is intended to ensure that prohibited electronic devices are not brought into the test room. Please note that this procedure is a Prometric policy; Pearson VUE centers do not have this requirement. For complete details, review Prometric's Metal Detector Information Sheet and Test Center Regulations.
2012 Foundations of Web CRD/IARD Training
The 2012 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips. The two-day program offers practical, hands-on and comprehensive sessions. Space is limited, so please register early. View the schedule and registration information.
FINRA Entitlement User Accounts Certification
The 2011 FINRA Entitlement User Accounts Certification Period ended on December 9, 2011. Super Account Administrators (SAAs) for firms with more than one user are required to complete the annual online certification process. If an SAA did not complete this requirement prior to the deadline, FINRA disabled the capability to create, edit and clone accounts for all administrators at the organization until the SAA completes the certification process. Please refer to the How to Access IARD page for more information.
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.
FINRA.org: Add to Safe-Sender Email List
NASD and NYSE Member Regulation consolidated to form a single self-regulatory organization for the securities industry known as FINRA, the Financial Industry Regulatory Authority. FINRA is now the operator of the IARD system 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. 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: SECIARDNotifications@finra.org
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.
Attention Filers: If you are a currently state-registered IA firm that is changing from manual paper registration to electronic filing on the IARD system, an electronic Transition Filing should be completed and submitted before you begin to create your electronic Form ADV on IARD. You will not be able to transition your Notice Filing or state registration information if you first begin to create your electronic Form ADV because the system does not allow Transition Filings when you have an existing "Pending" Form ADV filing. For more information regarding Transition Filings, please read NASAA’s Notice Filing & Transition Explanation.
