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:
- New Organization SAA Entitlement Form & Instructions (used by SEC or State-Registered Advisers)
- Please note: Firms should plan to submit their initial Form ADV within five (5) months of submitting the New Organization SAA Form. If no ADV filing activity occurs within this timeframe, the firm’s user accounts will be deleted unless FINRA is contacted about the Form ADV status. If accounts are deleted, the firm must resubmit the New Organization SAA form to regain access.
- SEC Adviser Entitlement Information Packet (PDF 40 KB)
- State Registrant Entitlement Information Packet (PDF 55 KB)
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.
Questions regarding the Entitlement Program and should be directed to the IARD Call Center at (240) 386-4848.
FINRA's 2020 Annual Entitlement Certification Period
FINRA's 2020 Entitlement Certification period is April 20 – July 20, 2020. During this period, Super Account Administrators (SAAs) for firms with more than one user and/or administrator account must certify that individuals have the appropriate level of access to FINRA systems required to perform their job responsibilities or remove access if no longer required. This year, organizations with only an SAA account and no other users or administrators have the option to certify but are not required.
Additional information is available on the following pages:
- Entitlement User Accounts Certification Process Quick Reference Guide
- FINRA Annual Entitlement User Accounts Certification
- FINRA Entitlement Program Frequently Asked Questions
Contact the IARD Call Center: (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.