The first step to getting started on IARD is setting up an
IARD User Account via a process called "
Entitlement." The Entitlement process is managed by FINRA, the operator of the IARD system. Becoming entitled means your firm is granted access to the IARD system in order to register and file via this secure system. Questions regarding the Entitlement forms or process should be directed to the
IARD Call Center: (240) 386-4848.
Entitlement Forms
These packets contain forms that must be completed and mailed with original signatures in order to set up an IARD User Account and gain access to the IARD system. Select and print the IARD Entitlement Packet applicable to your firm:
Modifying accounts for Account Administrators:
The following IA Modification Forms are used to modify information for an IA Firm's Account Administrator (AA) including personal data or privileges, disable an account, or delete access to a specific application for an IA Firm's AA. These forms should also be used when an IA firm's AA needs to make updates to another AA at the firm. These forms must be signed by an AA requesting the modifications and may be faxed. These forms are formatted so that firms may complete them online and then print for either mailing or faxing.
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IARD Entitlement Confirmation Packet
Once FINRA has processed your firm's Entitlement Forms, FINRA will contact each Account Administrator with his/her User ID and Password and will send him/her a confirmation email with the URL to this Confirmation Packet.
What Follows Once You Have An IARD Account
This will cover 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 firm's first filing through the IARD system.
