The depository’s purpose is to improve the monitoring and regulation of investment advisors and to make professional information about them available to the public. What Does Investment Adviser Registration Depository Mean? and Date of Birth” are entered in such circumstances, Form ADV provides a means to identify this field as personal information by selecting the “SSN” button next to the field. This release (Investment Advisers Act Release No. Who can I contact for help? On that date, advisers will be able to submit filings, including amendments to Form ADV. 4509 (IA-4509)). The SEC and the North American Securities Administrators Association sponsor the IARD, while the Financial Industry Regulatory Authority (FINRA) develops, operates and maintains the system. Allow 48 hours for the processing of funds. Click on "How to Access IARD," located on the left side of the screen, and print off an SEC Adviser Entitlement Information Packet and a New Organization SAA Entitlement Form & Instructions. In general, the IARD system is not available on days the securities markets are closed and for several days during the end of December (to process renewals of state notice filings and registrations). If the SEC does grant a Continuing Hardship Exemption, the adviser still must send its completed paper filing to SEC. The email system will notify your firm of: The Commission adopted a new rule 204A-1 requiring SEC-registered investment advisers to adopt and enforce codes of ethics that establish standards of conduct expected of supervised persons and reflect the adviser's fiduciary duties. This new Investment Adviser Public Disclosure (IAPD) website was launched by the SEC and NASAA to provide clients and prospective clients of advisers with direct access to Form ADV filings made by the then approximately 7,800 SEC-registered advisers and 8,200 state-registered advisers who filed Form ADV through IARD. IARD Background Information. The IARD system has three objectives: (1) to create a regulatory system for Investment Advisers to improve overall regulation of advisers, (2) to make information about Investment Advisers available to the public, and (3) to provide Investment Advisers an efficient automated filing system. Not a "phishing" scam: The email function sends each active SEC registrant a "Contact Email Verification" email at the contact employee's email address, asking the contact employee to authenticate the email address through the IARD website using an authentication key.

The IARD, developed jointly by NASAA and the SEC, and built and operated by the Financial Industry Regulatory Authority (FINRA), is to investment advisers what the CRD is to broker-dealers. The adopted amendments replace Form ADV, Part II with Form ADV, Part 2. The general number for our Springfield office is (217) 546-3523. The public can also see whether the advisor has ever been disciplined or suspended, or if the advisor’s key personnel have ever faced discipline. Mail Form ADV-H to the SEC at the address shown below. All SEC-registered investment advisers and investment advisers applying to register with the SEC must file Form ADV and amendments to Form ADV electronically through IARD. Send you a Confirmation Packet containing: instructions on how to make an electronic filing on IARD. If an SEC-registered adviser cannot make a required electronic filing, the adviser may be eligible for one of two hardship exemptions by filing Form ADV-H (available in PDF format). An IARD Pilot Program was completed November 9, 2000.

If you have questions about how to appropriately complete a filing and protect personal information, please contact the SEC, FINRA, or your state securities regulator.

These rules and rule amendments: Specific information about these changes, including effective and compliance dates of these and other various requirements, may be found in the IA-3221 adopting rule release. General inquiries and ethics inquiries may be made by email to Your IRD number keeps track of the tax you pay and helps make sure you pay the right amount or get the right entitlements. The Securities and Exchange Commission ("Commission") has adopted amendments to Form ADV and that are designed to provide additional information regarding advisers, including information about their separately managed account business, incorporate a method for private fund adviser entities operating a single advisory business to register using a single Form ADV, and make clarifying, technical and other amendments to certain Form ADV items and instructions. Advisers must, on their Form ADV Part 2 Item 11, describe their code of ethics and state that they will provide a copy of the code to any client or prospective client on request. The IARD system satisfies the requirements of the National Securities Markets Improvement Act (NSMIA,1996), which authorized electronic system registration of Investment Advisers. The adopted amendments change the format from a check-the-box format to a plain English narrative format, add and revise questions on the form, require electronic filing of the form on IARD, and require brochure supplements for certain supervised persons be provided to clients. These responses are not a rule, regulation, or statement of the Securities and Exchange Commission, and the SEC has neither approved nor disapproved this information. Sometimes Filings require that you enter information that in some instances may be personal information. What is the broker code? Please be advised that the Investment Adviser Registration Depository (IARD) system will be open on Sunday, March 31, 2019, from 10am-6pm Eastern Time. Investment advisors use the IARD to file their Uniform Application for Investment Adviser Registration form, known as Form ADV, which officially registers them as investment advisors. This exemption extends an electronic filing deadline for seven business days if unexpected difficulties, such as a computer malfunction or electrical outage, prevent an adviser from meeting a filing deadline. Development of the IARD is a joint effort by the SEC and the North American Securities Administrators Association (NASAA). You can find forms and information about setting up an IARD Account on the FINRA's website This electronic database will expand significantly because increasing numbers of state-registered advisers are switching to electronic filing each day. Rule 204-2, the books and records rule, also was amended to require that these advisers maintain certain records of their proxy voting activities. The final rule release is available at: For more information, see Frequently Asked Questions and Rule 203-3(a) under the Investment Advisers Act of 1940.

The Investment Adviser Registration Depository (IARD) is an electronic system through which investment advisors register themselves and file required reports and disclosures with the U.S. federal Securities and Exchange Commission (SEC) and with state-level regulators. No fee is charged for electronically filing a Final Report. or Item 1.K. FINRA is the developer and operator of IARD. Step I. The adopting release contains the text of the rule, information about the rule and the compliance dates for various parts of the rule.

Also available are: The Investment Adviser Registration Depository (IARD) is an electronic filing system for Investment Advisers sponsored by the Securities and Exchange Commission (SEC or Commission) and North American Securities Administrators Association (NASAA), with FINRA serving as the developer and operator of the system. Firms are required to provide complete, up-to-date and accurate information on Form ADV Filings. What is an IARD number? 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). The result of deferring the effective date means that an adviser with a December 31 fiscal year end, applying for initial SEC registration late in the year, will file its first annual updating amendment no later than March 31, 2021. Additional staff guidance relating to mid-sized advisers is available at, Deadlines to update SEC registration eligibility for new registrants relying on Rule 203A-2(c) for 120 days, Announcements by the SEC of regulatory and compliance information. Easy public access to information about your firm on the Investment Adviser Public Disclosure (IAPD) website. Central Registration Depository (CRD): The Central Registration Depository (CRD) is a database maintained by FINRA for all firms and individuals involved in the U.S. securities industry.

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