IARD Firm User's Manual

The Firm User's Manual was created specifically for Investment Adviser Firms to guide their users through the IARD system and its functionality. The User's Manual is designed to allow you to view information online or print all, or part of the Manual as necessary. Please note that each separate chapter has kept the page numbers that they have in the entire version of the Firm User's Manual.

The Firm User's Manual has been formatted to include independently page-numbered chapters. For example, Chapter 1 is page-numbered 1-1, 1-2, 1-3, etc. and Chapter 2 is page-numbered 2-1, 2-2, 2-3, etc. Independently page-numbered chapters will allow you to review updates and print chapters individually. Additionally, provided is a Revisions Tracking Document to assist with identifying specific chapters that have changed within the Manual with each updated version. Please note that this document is not all-inclusive in denoting the changes. Please refer to the Release Notes for a comprehensive list of all the changes to IARD.

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Table of Contents

• Revisions Tracking Document (PDF format 219 KB)
• Chapter 1: Introduction (PDF format 31 KB)
• Chapter 2: Account Administration (PDF format 1,463 KB)
• Chapter 3: Getting Started (PDF format 1,159 KB)
• Chapter 4: Transitioning Investment Adviser Firms and Organization Non-Filing Information (PDF format 549 KB)
• Chapter 5: Organization Form Filing (PDF format 2,394 KB)
• Chapter 6: View Organization (PDF format 1,347 KB)
• Chapter 7: Firm Queues for Organizations (PDF format 134 KB)
• Chapter 8: Transitioning Investment Adviser Representatives (RAs) and Individual Non-Filing Information (PDF format 183 KB)
• Chapter 9: Individual Form Filing (PDF format 907 KB)
• Chapter 10: View Individual (PDF format 648 KB)
• Chapter 11: Firm Queues for Individuals (PDF format 1,017 KB)
• Chapter 12: Reports (PDF format 455 KB)
• Chapter 13: Accounting (PDF format 385 KB)
• Chapter 14: Disclosure (PDF format 219 KB)

View entire Firm User's Manual (PDF format 14,345 KB)