Tip #3 for an Investment Adviser’s IARD Renewal – Email Alerts from IARD System

November 13, 2019

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Your investment adviser firm can create IARD renewal email alerts in E-Bill section of the IARD account.  The email alerts sent to your investment adviser firm can include notifications about renewal statements, deadlines, or confirmation that your investment adviser firm has paid its renewals in full.  The Super Account Administrator (“SAA”) for your investment adviser firm’s IARD account does not automatically receive all the available alerts; the SAA must subscribe for the various email alerts.  For more details about the features of the E-Bill section of your investment adviser firm’s IARD account, visit E-Bill Frequently Asked Questions (FAQ) at https://www.finra.org/filing-reporting/e-bill/faq#alerts .

Posted by RCC
Labels: IARD, Renewals