IARD System Frequently Asked Questions - Form Filing for IA Firms
Completeness Check

1. How can I easily print the Completeness Check Results Screen?

While displaying the Completeness Check Results Screen, select the printer icon from the upper-right-hand corner of the screen. The print window will display. Select 'Print.'

Use the printed page to go to the appropriate screen to add or correct data without having to navigate back to the Completeness Check Results Screen.

2. Is it possible for me to submit a Form ADV without Schedule A?

No. It is not possible to submit a filing without this information. You will receive a Completeness Check error advising you to complete Schedule A.

3. I am receiving a Completeness Check error advising me to answer "Yes" to Item 10 regarding control persons, but our firm doesn't have any. What happened and how can this be resolved?

You may have inadvertently created a control person and if that is the case you will need to delete that entry. First, return to Item 10 and scroll down the page to verify if a control person was created. If a control person was created, click on the edit button and then select the delete button. Once completed, you should be able to run the Completeness Check again to verify that the error has been resolved.

4. I am receiving a Completeness Check error regarding a linked DRP; however, when I return to the DRP, it is blank. How can I retrieve this information so that I may correct the error?

If a DRP has been linked from the BD to the IA, it would not be blank. You may have inadvertently created a new DRP by mistake. To correct this, return to the DRP list and check the IA DRP's that have an "Edit" hyperlink and verify if any DRPs are blank. Delete any DRPs that are blank and this should correct the error.

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