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.
Also, view the Web CRD Quick Reference Guides for assistance with the functionality that you perform for investment adviser representatives in Web CRD.
For your convenience, this website makes selected materials available in PDF (Portable Document Format) files. If you do not have the Adobe® Acrobat Reader to view such files, download the free plug-in.
Investment Adviser Reference Guides
- Account Management - Account Management refers to the management of IARD user accounts, including requests for accounts, activation of accounts, creation of initial passwords, setting user privileges, and other responsibilities essential to maintaining IARD accounts.
- 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 email 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 individual registration requests to expire in given timeframes.
- IARD View Organization - View Organization is the "read only" function in the IARD system that provides entitled users with the capability of viewing current registration information in their firm's IARD record.
- IARD Reports - The Reports feature enables firms to request standard reports generated from data stored in Web CRD and IARD. Requested reports are available online for viewing or downloading.
- 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.
- Firm Queues for Individuals - Individual queues provide notification to firms of events relating to individual registrations.
- Form ADV - This guide provides an overview of Form ADV filing functionality.
- Form ADV Part 2 - Firm User - As part of the form filing function, firms are able to submit Part 2 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.
- Form ADV-W - This guide provides an overview of Form ADV-W filing functionality.
- Form ADV-E - As part of the form filing function, firms are able to initiate Form ADV-E filings in IARD and view the surprise examination reports or termination statement uploaded by the public accountant that conducted the surprise examination of the firm.
Regulator IARD Reference Guides
- 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 2 - Regulatory 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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