IARD System Frequently Asked Questions - Administrative Tools (including Entitlement)
1. What are the criteria for creating my password?
A password must be a minimum of eight characters. The password cannot contain any portion of the user's ID, first, middle or last name, or the following characters: ampersand (&), asterisk (*), percent (%) or caret (^). The password must contain three of the following four characteristics:
- Lower case characters
- Upper case characters
- Numbers 0-9
- Non-alphanumeric characters (e.g., @, # or $) (Unacceptable characters/symbols are noted above.)
Remember passwords are case sensitive. Passwords must be changed every 120 days and a user cannot reuse a password that has been used within the last 7 password changes.
2. How do I change my password?
All IARD users can change their passwords at any time by clicking on "Change Password/Change Account Profile" under the Admin Tool menu on the site map.
3. What should I do if I have forgotten my password?
Users who forget their passwords and/or are locked out from entering a password incorrectly more than five times can click on the "Forgot Password?" link to request a new password. Users will be prompted to enter his/her user ID and security challenge response before a new password is emailed to him/her.
4. What should a firm user do if his/her account has to be reset?
A firm user should contact his/her firm Account Administrator to have his/her password reset or account unlocked.
5. How do IA-only Account Administrators request Web CRD entitlement privileges for themselves?
Depending on whether the request is being made for a new Account Administrator (AA) or an existing AA, either a CRD Participant IA-Only AAEF or CRD Participant IA-Only Modification Form should be completed to request Web CRD entitlement privileges for themselves. Both of these forms can be found on this site on the How To Get Started on IARD page. The CRD Participant IA-Only AAEF can be found in either entitlement packet and the modification form is available directly on that page. The completed form should be faxed to the Entitlement Unit at (240) 386-4669. FINRA will entitle the Account Administrator with the requested Web CRD privileges.
6. An Account Administrator from an IA-only firm has selected other Web CRD privileges (e.g., NRF). He/she can now see the NRF screen, but cannot do anything in that function of Web CRD. Should he/she be able to
Certain Web CRD functionality, while viewable and checkable from the Account Administration Screen, is not available for IA-only firms. The privileges that are not available to IA-only firms are indicated by a "BD Only" notation on the Account Administration Screen.
7. I am the Account Administrator for 2 different firms that are NOT under joint ownership. One is a securities firm and the other is an investment adviser firm. Should I use the same User Name and Password for both firms?
No. You should have a separate User Name and Password for each firm, since the firms are not under joint ownership.
8. I work for a service bureau and provide services to several different Investment Adviser firms. Do I need to have separate Account Administrator privileges for each firm?
Yes. Since you are filing on behalf of each firm separately, you would need to have separate Account Administrator Entitlement privileges for each firm.
9. My firm has already returned the Entitlement Forms to FINRA and designated our firm employees as the Account Administrators on the AAEF, but now my firm has decided to use a service bureau. How can I change or add to our firm's entitlement information to include the service provider my firm chose?
The process differs depending on whether you want the service provider to be added as a regular firm user or as a firm Account Administrator. The processes are as follows:
10. I am the only person in my firm and do not have any partners or support staff, in other words I am the sole proprietor. The Entitlement Forms ask me to provide two Account Administrators, one as a Primary and another as an Alternate. Will my forms still be processed if I only list myself as the Primary Account Administrator and not have an Alternate?
- If you are only adding the service provider as one of your firm's users then your firm's Account Administrator can add your service provider as a user by creating a user account for him/her.
- If you are adding the service provider as a Primary or Alternate Account Administrator, you will need to complete an updated AAEF form which can be found on this site on the How to Access IARD page. The CRD Participant IA-Only AAEF can be found in either entitlement packet. The completed form should be faxed to the Entitlement Unit at (240) 386-4669. FINRA will entitle the Account Administrator with the requested Web CRD privileges.
Yes, your Entitlement Forms will still be accepted. In the circumstance of only one individual in the firm then you would only list the Primary Account Administrator on the Account Administrator Entitlement Form. We only recommend that an Alternate Account Administrator be designated when possible.
11. How can a firm arrange to have Firm Notifications sent to another individual at the firm while the e-mail contact person is out of the office for an extended period of time?
A firm can change the email address (Contact Name and Contact Phone Number) within Firm Notifications under Organization NFI>Maintain Firm Notifications to designate another individual in the firm, and to reset the contact information upon the person's return.
12. Are there any reference materials or job aids that would help a firm Account Administrator learn how to use the Account Administration tool and perform functions such as creating, modifying or deleting user accounts, updating system privileges for users or resetting passwords, etc?
There are several Account Administration tools available to Account Administrators:
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