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NEW FORM ADV AND THE IARD: HOW WILL THE CHANGES AFFECT YOU?

David B. Berg (PRICEWATERHOUSECOOPERS LLP)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 March 2000

Abstract

Beginning in January 2001, investment advisers registered with the Securities and Exchange Commission (“SEC”) will begin filing their registration forms electronically through the new Investment Adviser Registration Depository (IARD). The IARD is a Web‐based filing system operated by NASD Regulation (the NASD‐R), that will enable advisers and their representatives to submit their filings with the SEC and state regulators electronically similar to the current method used by broker‐dealers to submit filings on the Web CRDSM system. Other significant aspects of the new system include the ability for investors to search the IARD database to get current information about advisers, including the services they provide, fees they charge, their conflicts of interest, and disciplinary history. To finance the development and operation of the IARD, advisers will now be required to pay initial and annual filing fees to the NASD‐R.

Citation

Berg, D.B. (2000), "NEW FORM ADV AND THE IARD: HOW WILL THE CHANGES AFFECT YOU?", Journal of Investment Compliance, Vol. 1 No. 3, pp. 23-26. https://doi.org/10.1108/eb045883

Publisher

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MCB UP Ltd

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