IARD Quick Reference Guides

FINRA has developed a series of Quick Reference Guides, support tools relating to the functional components of the IARD system. These Guides are designed to be "high level" functional overviews of IARD to assist users in navigating the IARD system. Each contains valuable summary User Community information and is intended to be used as a reference guide and/or job aid to facilitate a smooth transition to IARD. They are categorized by IARD User Community; however, users may benefit from reviewing all categories of information. They can be retrieved by clicking on the list below, and feel free to post/file them in convenient reference locations.

Also, view the Web CRD Quick Reference Guides for assistance with the functionality that you perform for investment adviser representatives in Web CRD.

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  • Account Administration - Account Administration refers to the management of Investment Adviser Registration Depository user accounts, including requests for accounts, activation of accounts, creation of initial passwords, setting user privileges, and other responsibilities essential to maintaining IARD accounts.

  • Accounting - Accounting is the IARD function that provides firms with the ability to view detailed financial account information.

    • Web CRD/IARD E-Pay - Provides detailed instruction on how to enroll and use the Web CRD/IARD E-Pay payment method.

  • Firm Notification - This is the function that provides entitled users at broker/dealer firms, broker/dealer and investment adviser firms (joint firms), and investment adviser-only firms with the capability to request automatic e-mail reminders be sent from Web CRD to firm-designated individuals whenever significant registration-related conditions occur.

  • Registration Deficiency Tracking - The Registration Deficiency Tracking Program monitors specific deficiencies that will cause registration requests to expire in given timeframes.

  • IA Firm Registration

    • Firm Queues for Organizations - Firm Queues provide notification to firms about SEC or states taking action on the firm's request for registration withdrawal or termination of a registration. The Queues also notify the firm of any regulatory actions added to its record by the SEC or states.

  • IA Representative Registration

    • IA Representative (RA) Transition - The IA representative (RA) Transition is the function in Web CRD that provides entitled firms users with the capability of transitioning existing Registered Advisers (RAs) onto the Web CRD system.

    • Firm Queues for Individuals - This provides the mechanism for CRD to notify firms of events relating to individual registrations.

  • SEC Registration Queues for Organizations - The SEC Registration Queues provide the mechanism for the SEC to receive notifications and update registration statuses related to Investment Adviser firms.

  • State Queues for Organizations - These Queues provide states with notifications that a form filing has been submitted or status changes have occurred for a firm that is registered or Notice filed.

  • ADV Part II

    • ADV Part II - Firm User - As part of the form filing function, firms are able to submit Part II of Form ADV in IARD. This guide provides an overview of how to submit a brochure, view brochure information, and search brochures submitted by their firm for content.

    • ADV Part II - Jurisdiction User - This guide provides an overview of how to review brochure filings, maintain brochure jurisdiction status through queues and Organization Non-Filing Information. This guide also covers how to view a firm's brochure information and search brochures submitted to the state for content.

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