IARD Release Notes

Release 4.0 – 03/18/2002

Firms

Reports:

  • The glossary for the IA State, SEC and Firm reports is titled IA Reports Glossary.

View Organization:

  • There is a new hyperlink at the top and bottom of the page where the user can click and go directly to the most recent Form ADV filed.
  • Added Item numbers added to the navigation panel in Filing History.

Form Filing:

  • IA Italicized Words & help text. All defined terms in Form ADV are italicized. When a user moves his mouse over one of these italicized terms, a pop-up box appears containing that term’s definition from the online glossary.
  • When a firm provides disclosure on the FORM ADV Regulatory Action DRP, Questions 11D(2)& 11D(4), the corresponding Part 1, Question A will be properly transferred to the historical filing.
  • Form ADVs displayed on IARD and printed from IARD will now show the typed signature.
  • Changed IARD Accounting so that an adviser cannot submit an IARD filing unless its account contains funds that are sufficient to cover the fees associated with that filing.
  • Added warning message to the ADVW to explain that if a firm requests termination with the SEC all of their individuals will terminate once the SEC approves the termination. It should explain that SEC filers who are changing to state registrants should request their state registrations before terminating their SEC registration.

Help:

  • IA Q & A Help modifications so when the user selects Q&A Help, they are taken to the context-specific section for that page, if there is one.
  • IA – Q & A Help, additional items from the SEC & NASAA are added to the Q & A Help text.

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SEC

Reports:

  • Formatting changes were made for rpt10017f Advisors Of Investment Co – All Regions.
  • The glossary for the IA State, SEC and Firm reports is titled IA Reports Glossary.

View Organization:

  • There is a new hyperlink at the top and bottom of the page where the user can click and go directly to the most recent Form ADV filed.
  • Added Item numbers added to the navigation panel in Filing History.

Queues:

  • IA Q & A Help modifications so when the user selects Q&A Help, they are taken to the context-specific section for that page, if there is one.
  • IA – Q & A Help, additional items from the SEC & NASAA are added to the Q & A Help text.

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States

Reports:

  • The glossary for the IA State, SEC and Firm reports is titled IA Reports Glossary.

View Organization:

  • There is a new hyperlink at the top and bottom of the page where the user can click and go directly to the most recent Form ADV filed.
  • Added Item numbers added to the navigation panel in Filing History.
  • Corrected Firm Regulatory Notes as it was Erroneously displaying Registration Comments.

Queues:

  • IA Q & A Help modifications so when the user selects Q&A Help, they are taken to the context-specific section for that page, if there is one.
  • IA – Q & A Help, additional items from the SEC & NASAA are added to the Q & A Help text.

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