The IARD system facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes an IARD User Account to gain access to and file on the IARD system, an IARD Financial Account is also set up for that firm. The links available on this Web Page provide important information on IA-related fees as well as guidance with the IARD Accounting functionality.

Fees:

IA Firm Fees

• IARD Firm System Processing Fees
• IA Firm State Registration/Notice Filing Fee Schedule

IA Representative (IAR) Fees

• IA Representative (RA) System Processing Fees
• IA Representative State Registration Filing Fee Schedule

Accounting:

Electronic Payment via E-Bill or Web CRD/IARD E-Pay (effective June 17, 2013, the link to E-Pay will be replaced by E-Bill in Web CRD/IARD).

IARD Accounting
Provides an overview of the setup and functions of your firm’s financial account with FINRA – the FINRA Flex-Funding Account (CRD/IARD Daily Account).

IARD Accounting Navigation Guide
Directional assistance with the IARD Accounting functions in the IARD system is made available.

IARD Daily Account: Payment Methods & Addresses
Discussed are the types of payment accepted to fund your firm’s IARD Financial Account and the appropriate addresses for financial remittances.

IARD Funds Transfer Requests
Form and instructions for transferring funds from a firm to an IA affiliate, or between a firm’s Daily and Renewal Accounts.

Instructions for Requesting Refunds
Instructions are provided on how to request a refund from your firm's Daily Account with IARD.

IARD Frequently Asked Questions: Accounting
Examples are given of questions and answers regarding the accounting functionality in IARD.

IARD Renewal Program
View information about the IARD Renewal Program.