Electronic Filing for Investment Advisers on IARD:
Forms, Policy, and Law

Forms for IARD

• Current version of adviser forms (provided in PDF format):

  • Form ADV (Part 1 and Part II)

  • Form ADV-W

  • Form ADV-H

  • Form ADV-NR

  • Form ADV-E

• IARD Entitlement Forms (in PDF format) for setting up an IARD Account if you plan to register with the SEC after December 31, 2000, as an investment adviser.

SEC Releases on IARD and the Revised Form ADV

• SEC Release Proposing Amendments to Form ADV, Part 2;[Release No. IA- 2711 (March 3, 2008)]

• SEC Release Adopting Technical Amendments to Forms;[Release Nos. 34-57166, IA-2695 (January 17, 2008)]

• SEC Amendments to Form ADV; Technical Amendments. [Release Nos. IA-1916, 34-43758 (December 21, 2000)]

• SEC Release Adopting Amendments to Form ADV. [Release No. IA-1897; 34-43282 (September 12, 2000); File No. S7-10-00]

• SEC Release Proposing Amendments to Form ADV [Release No. IA-1862; 34-42620 (April 5, 2000); File No. S7-10-00]

Comment Summary

• Summary of 70 Comment Letters on SEC Proposal for Electronic Filing by Investment Advisers and Amendments to Form ADV [proposed in Release No. IA-1862; 34-42620 (April 5, 2000); File No. S7-10-00]

Statements on IARD

• "Amendments to Form ADV" – Opening Statement by Chairman Arthur Levitt at the Open Commission Meeting, Washington, D.C., April 5, 2000. (File name: spch383.htm)

• "Amendments to Form ADV" – Statement of Paul F. Roye, Director, Division of Investment Management, at the Open Commission Meeting, Washington, D.C., April 5, 2000. (File name: spch384.htm)

Law

• Investment Advisers Act of 1940

• Rules Under the Investment Advisers Act of 1940