HOW TO ACCESS IARD

The FINRA Entitlement Program provides authorized users a secure means to access participating applications with a single user ID and password. Once an investment adviser (IA) firm completes the entitlement process, it will obtain access to the IARD system in order to register or file as an exempt reporting adviser via this secure system, which FINRA operates on behalf of the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).

The Entitlement Program requires that each firm designate a Super Account Administrator (SAA), who will have the authority to create, modify and delete account administrator and user accounts for FINRA-administered applications. IA firms seeking SEC-registration, state-registration or filing as an exempt reporting adviser must request access to IARD/Web CRD by completing and submitting the New Organization SAA Form and completing the entitlement process as outlined in the applicable Entitlement Information Packet:

Once FINRA receives the New Organization SAA Form and the SAA is established in the system, FINRA sends a confirmation email to the Authorized Signatory who signed the form and to the SAA. The new SAA will receive two emails: one with the user ID and one with the temporary password. Both emails will have a link to the FINRA Entitlement web page.

2018 Annual Entitlement User Accounts Certification Period Ended February 8
Super Account Administrators (SAAs) for firms with more than one user who have not yet certified must do so immediately. The ability to create, edit and clone accounts has been disabled and will remain so until certification is completed.  In addition, the appropriate regulator will be contacted, and all accounts associated with organizations that have not certified will be suspended. Should account suspensions occur, SAAs from affected organizations will be required to work with the FINRA Entitlement Group in order to regain system access.

Questions regarding the Entitlement Program should be directed to the IARD Call Center at (240) 386-4848.

What Follows Once You Have an IARD Account
Covers the remaining steps your firm needs to take once its IARD User Account has been established.

What Filing Type Do You Choose
Guidance is provided for determining your firm's first filing through the IARD system.

Looking for Your Firm’s SAA?
If you do not know who your organization's SAA is, log onto the Firm Gateway, select the My Account link and view information on the Applications & Administrations tab.