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RAD Release 2014.4
Release Notes - November 15, 2014
SUMMARY
WebCRD
Document type' drop-down now defaults to 'All Types' while searching for imaged documents.
IMPACTED SYSTEM AREA
View Individual
IARD
A new completeness check has been added to Form ADV requiring firms enter the percentage of clients Form ADV
that have invested in private funds (Schd D, 7B1 Q20) when Schedule D, Section 7.B.(1) is completed.
WebCRD & IARD
A link to 'SRO/Jurisdiction Fee and Setting Schedule' and 'IA Setting and Standard Fees' is now added to Sitemap
the CRD and IARD sitemaps respectively.
A more prominent link to "E-Bill" is added to the CRD & IARD sitemap and Accounting pages.
Sitemap
PFRD
Added a new completeness check that requires an answer to Section 1C when Section 2B is completed. Form PF
Added a new completeness check that prevents entering a future date or a date prior than January 1,
2010 for Q17.
Added a new completeness check preventing any private fund listed on any adviser's Form ADV to be
marked as a CFTC only (non-private) fund.
©2014. FINRA All rights reserved. As of 11/15/2014
COMMUNITY
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Form PF
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