James Chen, CMT is an expert trader, investment adviser, and global market strategist. Investopedia / Theresa Chiechi The Investment Adviser Registration Depository (IARD) is an electronic system ...

NASAA will waive payment of initial and renewal IARD system fees by state-regulated investment adviser firms and investment adviser representatives’ initial and renewal fees. NASAA’s Board of ...

The SEC also is introducing a revised version of form ADV, which investment advisers use to register their firms and their employees with the SEC or with state securities authorities or to amend such ...

Since that time, the Division understands there has been some confusion among advisers who should be utilizing the new exemption with notice filing but are relying on the de minimis exemption and ...

Form ADV – Annual Amendment to Parts 1 and 2A Due by March 30th Part 1 and Part 2A of the Form ADV must be updated by March 30, 2012 through the Investment Adviser Registration Depository ...

For the next two years NASAA will waive payment of initial and renewal IARD system fees by state-regulated investment adviser firms and reduce investment adviser representatives’ initial and renewal ...