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Open Categories Menu NASAA Requests Comments on Proposed Changes Form U4 is the form used by Investment Advisory firms to register investment advisor representatives with their firm. It is also used by broker-dealers to register reps with their firms. Form U5 is used by both IA and BD firms to terminate a representative’s [...]
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Posts Tagged ‘ IAR ’
31 October
Posted in
Investment Advisor, Press Releases
Investment Advisor and Investment Advisor Representative IARD System Fee Waiver
The SEC and NASAA have waived two separate charges for Investment Advisors for the 2009 calendar year. The first charge being waived is a systems charge for the Investment Advisor to access the IARD system. This fee used to be $30. The second charge is the fee to access the [...]
