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Electronic Filing for Investment Advisers on IARD:
Help, Tips, and Links for Electronic Filing

Where To Go for Help

If you have questions about Form ADV, electronic filing, using IARD, or registering with the SEC electronically, please contact the organizations as indicated below.

Questions about:   Contact:

Form PF Questions   SEC staff by calling
(202) 551-6999
or by e-mail
formpf@sec.gov

Using PFRD, Form PF XML Filing Issues, or Obtaining Access to PFRD   PFRDSupport@finra.org
or FINRA by calling
(240) 386-4848

Using IARD or completing IARD Entitlement Forms   FINRA by calling
(240) 386-4848
or by e-mail
webiard@finra.org

SEC Legal/Regulatory Issues   SEC staff by calling
(202) 551-6999
or by e-mail
iardlive@sec.gov

State Filing Issues   NASAA by calling
(202) 737-0900
or by e-mail
info@nasaa.org

SEC Filing Status   SEC staff by calling
(202) 551-7250


SEC Registration Filing Tips

   *   Return your IARD Entitlement Forms promptly!   FINRA will set up your IARD Account within two weeks (ten business days) or less. Be sure you have completed your forms properly so that corrections do not have to be made. If you have questions about the IARD Entitlement Forms, call FINRA at (240) 386-4848.

   *   Fund your IARD Financial Account early!   Some advisers send a wire transfer or check to FINRA on the same day they wanted to file Form ADV over IARD. Unfortunately these advisers cannot submit their electronic filing because the funds are not yet credited to their financial account. Submit money for your filing fees several days before you plan to file. You cannot submit your filing until funds are received and credited to your financial account.

   *   Write your CRD number on your check or wire transfer instructions!   Including your CRD number helps ensure that your money is credited to the correct account. This speeds the processing of funds.

   *   Know your state registration status!   An adviser registering with the SEC needs to know if it is required to make notice filings with state securities authorities in states where the adviser does business. A few advisers also must be separately registered with state securities authorities, particularly if the firm provides investment advice to state pension funds. Information about an adviser's state registration status is requested when completing Form ADV.

   *   Don't cancel your state registration until your SEC registration is effective!   The SEC has 45 days to review and approve your electronic application (Form ADV) for SEC registration. If you currently are registered with one or more state securities authorities, do not let your state registration(s) laps by withdrawing your state registration(s) too early. You will not be registered with the SEC until your application is declared effective. The SEC will mail you an effective order to notify you. You also can check your status on IARD under Registration Status.

 

Links to Other Important Websites Related to IARD

  • http://www.adviserinfo.sec.gov   IAPD (Investment Adviser Public Disclosure) site provides background information about registered investment advisers filing electronically through IARD.
     
  • http://www.iard.com   FINRA (Financial Industry Regulatory Authority) site provides important information on using IARD
     
  • http://www.nasaa.org   NASAA (North American Securities Administrators Association) site provides important information on state issues related to IARD. After accessing the site's homepage, use the pull-down menu at the top and select "Investment Adviser."

 

http://www.sec.gov/divisions/investment/iard/iardhelp.shtml

Modified: 02/19/2013