« Back to Glossary Index

What is IARD?  Investment Advisers register and submit filings to the SEC through an  electronic filing system, the Investment Adviser Registration Depository (IARD).

IARD’s one-stop electronic filing system offers investment advisers several advantages.

  • Eliminates paper filings
  • Single filing can satisfy SEC and state 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.

« Back to Glossary Index
The Securities Lawyer