IARD Release Notes
Release 2.0.8 – 04/07/2001
Firms
General:
- IA Help page will be modified.
Accounting:
- User will be directed to the Accounting homepage instead of the Daily Account page.
- Instead of a GSE, user will receive a valid error message when a non-numeric character is entered in the Accounting Organization Search field.
View Organization:
- When a firm provides a disclosure for 11D(2) & 11D(4) in the Regulatory Action DRP, Filing History will display the correct response.
- Print Historical for Item 5H will be modified to match the paper form.
- Filing History will display the correct affiliate data.
Form Filing:
- Item 6A(7) will populate with the correct data.
- Instead of a GSE, user will receive a valid error message when a radio button is selected in the Civil/Judicial DRP-Question 10 and an explanation is not provided.
- Instead of a GSE, user will receive a valid error message when creating a new entity as a direct owner, does not supply an answer to Item 2 in the detail page, then lists an invalid CRD number.
Reports:
- IA Firm Snapshot report will now pull DRP information.
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SEC
General:
- IA Help page will be modified.
Form Filing:
- "IARD SEC Use Only" statement will be added above the IA Disclosure Expiration Date of the U6 DRP.
Queues:
- The filing date in Regulatory Action Disclosure Queue details will reflect the NASD received date when a NASD user submits the filing on behalf of a regulator.
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States
General:
- IA Help page will be modified.
Form Filing:
- "IARD SEC Use Only" statement will be added above the IA Disclosure Expiration Date of the U6 DRP.
Queues:
- Jurisdiction Notice Filing Queue – Withdrawals will now show the Ceased Date Column.
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