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State Entitlement Packet IARD Form
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People also ask
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What is the difference between IARD and CRD?
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. -
What is the phone number for FINRA entitlement?
A: Firms should contact the FINRA Support Center at: Broker-Dealers: (301) 869-6699. Investment Advisers: (240) 386-4848. FINRA Support Center, Funding Portals: (301) 590-6500. -
What is an IARD account?
IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD. -
How do I check my FINRA status?
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Also contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals. -
What is FINRA entitlement program?
The FINRA Entitlement Program provides a secure way for firms to access many of the web-based applications, materials and services they use with a single user ID and password. -
What is the number for FINRA entitlement?
If you are uncertain whether your organization has an FEA on file with FINRA, contact the FINRA Entitlement Group at (240) 386-4185. Organizations without an SAA are required to designate or replace a CRep who is authorized to complete the Entitlement User Accounts Certification Process. -
How can I contact FINRA?
For system issues or technical support questions, users may contact the FINRA Support Center by phone at (301) 590-6500 or by creating an online support ticket through the FINRA Gateway system. This opens in a new window. -
What is FINRA entitlement program?
The FINRA Entitlement Program provides a secure way for firms to access many of the web-based applications, materials and services they use with a single user ID and password.
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