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- Publisher
- Emerald Publishing
- Copyright
- Copyright © Emerald Group Publishing Limited
- ISSN
- 1528-5812
- DOI
- 10.1108/eb045883
- Publisher site
- See Article on Publisher Site
Abstract
Beginning in January 2001, investment advisers registered with the Securities and Exchange Commission SEC will begin filing their registration forms electronically through the new Investment Adviser Registration Depository IARD. The IARD is a Webbased filing system operated by NASD Regulation the NASDR, that will enable advisers and their representatives to submit their filings with the SEC and state regulators electronically similar to the current method used by brokerdealers to submit filings on the Web CRDSM system. Other significant aspects of the new system include the ability for investors to search the IARD database to get current information about advisers, including the services they provide, fees they charge, their conflicts of interest, and disciplinary history. To finance the development and operation of the IARD, advisers will now be required to pay initial and annual filing fees to the NASDR.
Journal
Journal of Investment Compliance – Emerald Publishing
Published: Mar 1, 2000