Investment Adviser Registration Depository - IARD


DEFINITION of 'Investment Adviser Registration Depository - IARD'

An electronic system through which investment advisers register themselves and file required reports and disclosures with the Securities and Exchange Commission and with state-level regulators. The SEC and the North American Securities Administrators Association sponsor the IARD; FINRA develops, operates and maintains the system. The IARD’s purpose is to improve the monitoring and regulation of investment advisers and to make professional information about them publicly available.

BREAKING DOWN 'Investment Adviser Registration Depository - IARD'

Investment advisers use the IARD to file their Uniform Application for Investment Adviser Registration form (form ADV), which officially registers them as investment advisers. They also use it for annual registration and renewal and for fee and form processing. Investment adviser representatives also use the IARD to register. An investment adviser who wishes to withdraw from some or all of the jurisdictions in which he is registered must use the IARD to file form ADV-W. The IARD is similar to the Central Registration Depository system that broker-dealers and agents must register through before they can transact business. The form ADV filings that investment advisers make through the IARD are available to the public through the Investment Adviser Public Disclosure website. There, members of the public can make sure that someone who is holding himself or herself out as an investment adviser has registered as such. The public can also view the adviser’s professional background, including employment history, professional designations, industry exams passed and other business activities, how long they have been registered with their current firm and which firms they have been registered with previously, and whether the adviser or any of his or her key personnel have been disciplined or suspended.
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    Under the "Brochure" rule of the Investment Advisers Act of 1940, which of these statements is true? a. The ADV Part II ... Read Full Answer >>
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