Foundations of Web CRD/IARD Training Sessions

Training Session Registration Fee ($500*) - includes two days of training, a continental breakfast and lunch each day, plus detailed and comprehensive Web CRD and investment adviser firm training information. Space is limited to 12 seats per session. View the Schedule & How to Register information.

Firms with adequate accommodations can receive two free participant spaces by hosting a training session.

Learn more about hosting Foundations of Web CRD/IARD Training Sessions.

The training session is designed for broker-dealer firms or joint broker-dealer/investment adviser firms and should be beneficial to those who are new to registration and licensing, new to Web CRD and IARD, or those who want to receive refresher training and registration tips. The two days of training offers practical, hands-on, and comprehensive training modules.

Session Topics

  • Introduction
  • Web CRD Overview
  • Account Administration
  • Electronic Forms Overview
  • Individual Form Filing
  • View Individual
  • Individual Queues
  • Firm Notifications
  • Form BR
  • Disclosure
  • Continuing Education
  • Reports
  • Organization Form Filing: Broker-Dealer and Investment Adviser
  • Broker-Dealer and Investment Adviser View Organization, Organization Queues
  • IARD Overview and New Functionality
  • Accounting

Upon completion, participants should be able to:

  • Identify and explain the basics of Account Administration
  • Submit form filings via Web CRD and IARD
  • Interpret individual and firm records
  • Request and view reports
  • Explain the disclosure questions
  • Manage information in Firm Queues
  • Monitor the Continuing Education cycles
  • Explain the Accounting process
  • Request Firm Notifications

*Payment is due upon registration. Registrants are solely responsible for the costs of travel and hotel accommodations. If an individual is not a “Confirmed Registrant” (i.e. you do not receive a Confirmation email), there is no guarantee that you will be able to participate in the class.