Forms Prescribed Under the Investment Advisers Act of 1940

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Forms Prescribed Under the Investment Advisers Act of 1940

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Section
279.0-1

Availability of forms.

Section
279.1

Form ADV, for application for registration of investment adviser and for amendments to such registration statement.

Section
279.2

Form ADV-W, notice of withdrawal from registration as investment adviser.

Section
279.3

Form ADV-H, application for a temporary or continuing hardship exemption.

Section
279.4

Form ADV-NR, appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser.

Sections
279.5-279.7

§§ 279.5-279.7 [Reserved]

Section
279.8

Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.

Section
279.9

Form PF, reporting by investment advisers to private funds.