The following are URLs (Internet addresses) to access the IARD and Web CRD systems. (Please note that you will be required to enter your system User Name and Password to enter these websites).
Below you will find the steps outlined for registering online via the IARD and Web CRD systems and links that provide more detailed information for each step.
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 IARD/Web CRD financial account. Your firm must have sufficient funds in order to submit filings through the systems.
- Step 3 - Online Registration:
- Investment Adviser Firms
- Transitioning Existing IA Firms - IA firms that are currently registered through paper filings must first “transition” their firms’ registration statuses onto IARD prior to filing an electronic Form ADV Amendment.
- Form Filing: IA Firm Registration - Includes information regarding the filing types for firms, a link to the current version of the ADV forms, and user support tools available to help guide you through a filing.
- Investment Adviser Representatives:
- Transitioning Existing IA Representatives - IA firms that have IA representatives that are currently registered with state(s) must first “transition” the representatives’ registration statuses onto Web CRD prior to filing an electronic Form U4 Amendment.
- Form Filing: IA Representative Registration - Includes information regarding filing types for IA representatives, a link to the current version of the Uniform Forms U4 and U5, and user support tools available to help guide you through a filing.
For Additional Help:
SEC-registered investment advisers may contact SEC staff at email@example.com for regulatory issues.
The IARD system is designed to make electronic filing easy and most investment advisers submit their electronic filings through the IARD system without outside help. However, if you prefer, you can hire a service bureau to assist in the preparation and electronic submission of filings on the IARD system.
Per the SEC, electing to use a service bureau does not relieve an investment adviser of its legal and regulatory responsibilities under the federal securities laws, including the timely submission of complete and accurate filings.