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Maryland's legislative district 2B; Represents part of Washington County: Delegate(s) Brooke Grossman (D) Registration
- Filing and Other Fees
- Hardship Filings
- Registration with The Sec
- Reporting to The Sec as An Exempt Reporting Adviser
- State Issues
- Type of Filing
- Name Change
- Glossary of Terms
- Form Adv: Item 1.B
- Form Adv: Item 1.F
Q: What are the fees for advisers registering/registered with the SEC filing on IARD? A:Fees are charged based on your firm's regulatory assets under management. Fees must be credited to your firm's IARD Flex-Funding Account before you can submit your filing. No fee is charged for filing an electronic amendment to Form ADV unless it is an Annual Up...
Q: I do not own or have use of a computer to make an electronic filing. What should I do? A:You have three options: 1. Any Computer.You may use any computer to fill out and submit your Form ADV on IARD. Thus, you could fill out and submit your Form ADV at a public library or any other place that provides public access to a computer. 2. Service Bure...
Q: I am planning to register with the SEC and want to know how to set up an IARD account. A: You can find the IARD Entitlement Forms and related information under "How To Register/File Reports" on this website. You can also check FINRA's webpage http://www.iard.com. Top
Q: I am planning to file reports with the SEC as an Exempt Reporting Adviser and want to know how to set up an IARD account. A: You can find the IARD Entitlement Forms and related information under "How To Register/File Reports" on this website. You can also check FINRA's webpage http://www.iard.com. Q: Which items in Form ADV must Exempt Reporting...
Q: Where can I find more information about mid-sized advisers (advisers with regulatory assets under management between $25 million and $100 million), including a list of the states in which a mid-sized adviser would not be "subject to examination" by the state securities authority? A: Additional information is available at the SEC's Frequently Ask...
Q: I want to register with the SEC. What "type of filing" should I enter when I begin completing my Form ADV filing? A:You should enter "Apply for registration as an investment adviser with the SEC." Do not use any other category. Q: I want to file reports with the SEC as an Exempt Reporting Adviser. What "type of filing" should I enter when I begi...
Q: We changed our name afterwe sent in our IARD Entitlement Forms. What should we do to have our new name reflected on IARD? A:If an adviser changes its name after sending in IARD Entitlement Forms, the new name should be entered in Item 1.C of the electronic Form ADV. Q: How do I change the name of my firm? A:To change the name of your firm on For...
Q: Where can I find explanations for terms used in Form ADV? A: Words that appear in italics on Form ADV are defined in the Glossary of Termsto Form ADV. If you are filling out Form ADV electronically, you can access the Glossary of Terms by clicking on the question mark in the top right-hand corner of the screen or by clicking on any word that app...
Q: The IARD system has automatically pre-populated my advisory firm's legal name in Item 1.B, which requests a firm's name under which it primarily conducts business if different from the adviser's legal name. We do not have a separate name under which we primarily conduct business. What should I do? A:The IARD system automatically lists an adviser...
Q: I am completing Form ADV for an SEC-registered adviser. The adviser conducts advisory business from many offices. Can I list more than twenty-five offices in response to Item 1.F? A:If you want to list more than twenty-five offices, you may. However, Item 1.F only requires that the largest twenty-five offices (on the basis of number of employees...
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Former Maryland Democratic Party Chair Yvette Lewis, 2011-2015, 2019-2023; Former Maryland Democratic Party Chair Kathleen Matthews, 2017-2018; Former Maryland Democratic Party Chair Michael Cryor, 2007-2009; Former Maryland Democratic Party Chair Terry Lierman, 2004-2007; Former Maryland Democratic Party Chair Peter Krauser, 1997-2000; Local
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The IARD/WebCRD account allows your firm and you to file the Form ADV Part 1, Form ADV Part 2A, Form ADV Part 2B (if state registered), Form ADV Part 3 (if SEC registered) and Form U4 to become an investment advisor and investment advisor representative and pay the registration fees charged by the appropriate securities regulators.
Sep 12, 2022 · Brooke Grossman, a Democrat running for the District 2B seat in the Maryland House of Delegates, will host a meet and greet fundraiser with U.S. Rep. David Trone, D-6th, on Sept. 17 from 4:30 to 7 ...
