On October 31, 2005, the IARD system was enhanced to add an email alert and reminder function. With this email function, each SEC-registered investment adviser will receive email reminders of certain filing deadlines as well as email notices of SEC regulatory and compliance information, if the adviser supplies the email address of its chief compliance officer and/or contact employee in its response to Part 1A, Item 1.J. and Item 1.K.

Not a "phishing" scam: The email function sends each active SEC registrant a "Contact Email Verification" email at the contact employee's email address, asking the contact employee to authenticate the email address through the IARD website using an authentication key. Contact Email Verification notices requesting your contact employee to visit a web URL beginning with the prefixhttps://www.webiard.com/ are valid. If you have any questions or concerns about the authentication process, contact the FINRA Gateway Call Center at 240-386-4848.

Your firm may not receive the benefit of email alerts and reminders unless you (i) supply an accurate email address in Item 1.J. or Item 1.K. and (ii) authenticate the email address through the Contact Email Verification notice sent to that address by the system. If your contact employee name or email address in Item 1.J or Item 1.K. is inaccurate in any way, you have a legal obligation to update that information promptly by amending your Form ADV on the IARD system (see General Instruction 4 to Form ADV). The system will automatically send a new Contact Email Verification email any time you amend your Form ADV to change your chief compliance officer or contact employee email address in Item 1.J. or Item 1.K.

The email system will notify your firm of:

• Changes to your registration status
 
• Annual amendment filing deadlines
 
• Deadlines to update SEC registration eligibility for new registrants relying on Rule 203A-2(c) for 120 days
 
• Announcements by the SEC of regulatory and compliance information