3b. ALL – Demystifying CRD and IARD: Navigating the Essentials (Basic)
This panel is designed for compliance associates and other financial professionals seeking a clear understanding of CRD (Central Registration Depository) and IARD (Investment Adviser Registration Depository) systems, both regulated under the FINRA Gateway. Panelists will break down the differences between these systems, explaining the functions and significance within the regulatory landscape. Attendees will gain practical knowledge by navigating the systems, submitting and managing filings, and maintaining compliance with FINRA and SEC requirements. This session will dive into compliance obstacles and challenges, including handling incomplete or inaccurate filings, negative disclosures, keeping apprised of changing regulatory requirements, managing deadlines for license renewals, and keeping up with continuing education. Whether you are new to these systems, or need a refresher, managing or performing these tasks, this session will give you valuable information to take back to your organizations so you can feel confident and prepared. This session is open to regulators but closed to members of the press.
