Electronic Filing for Investment Advisers on IARD: What Is IARD?

0
Posted

Electronic Filing for Investment Advisers on IARD: What Is IARD?

0

Beginning in January 2001, investment advisers register and submit filings to the SEC through a new electronic filing system, the Investment Adviser Registration Depository (IARD). Using modern information technology and the Internet, IARD’s one-stop electronic filing system offers investment advisers several advantages. • Eliminates paper filings • Single filing can satisfy SEC and state notice filing requirements • Automatic payment of state fees • Easy public access to information about your firm on the Investment Adviser Public Disclosure (IAPD) website, http://www.adviserinfo.sec.gov. Development of the IARD is a joint effort by the SEC and the North American Securities Administrators Association (NASAA). The IARD was built and is operated by the Financial Industry Regulatory Authority (FINRA). Additional information about IARD can be found on FINRA’s IARD website, http://www.iard.com and on NASAA’s website, http://www.NASAA.org. On July 28, 2000, the SEC approved the filing fees

Related Questions