Fillable Printable Federal Information Law And Requirements

Federal Information Law And Requirements

Form ADV (provided in PDF format):

•Instructions & Glossary

•Part 1A (including Schedules A, B, C, D and DRPs)

•Part 1B (state-registered a dvisersonly - link to NASAA website)

•Part 2

•Execution Page s

OMB Approval

OMB Number: 3235-0049; Expires: August 31, 2020; Estimated av erage burden per response: 23.77

Federal Information Law and Requirements

Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize the SEC to collect

the information required by Form ADV. The SEC collects the information for regulatory purposes,

such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are

required to register with the SEC and for exempt repo rt ing advis ers. The SEC maintains the

information submitted on this form and makes it publicly available. The SEC may return forms that

do not include required information. Intentional misstatements or omissions constitute federal

criminal violations under 18 U.S.C. § 1001 and 15 U.S.C. § 80b-17.

SEC’s Collection of Information

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of

information unless it displays a currently valid control number. The Advisers Act authorizes the SEC

to collect the information on Form ADV from investmentadvisers. See 15 U.S.C. §§ 80b-3 and 80b-

4. Filing the form is mandatory.

The form enables the SEC to register investment advisers and to obtain information from and about

exempt reporting advisers. Every applicant for registration with the SEC as an adviser, and every

exempt reporting adviser, must file the form. See 17 C.F.R. § 275.203-1 and 204-4. By accepting a

form, however, the SEC does not make a finding that it has been completed or submitted correctly.

The form is filed annually by every adviser, no later than 90 days after the end of its fiscal year, to

amend its registration or its report. It is also filed promptly during the year to reflect material changes.

See 17 C.F.R. § 275.204-1. The SEC maintains the information on the form and makes it publicly

available through the IARD.

Anyone may send the SEC comments on the accuracy of the burden estimate on page 1 of the form, as

well as suggestions for reducing the burden. The Office of Management and Budget has reviewed this

collection of information under 44 U.S.C. § 3507.

The information contained in the form is part of a system of records subject to the Privacy Act of

1974, as amended. The SEC has published in the Federal Register the Privacy Act System of Records

Notice for these records.