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Electronic Filing for Investment Advisers on IARD:
Forms, Policy, and Law
Forms for IARD
- Current version of adviser forms (provided in PDF format):
- 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
Comment Summary
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
http://www.sec.gov/divisions/investment/iard/iastuff.shtml
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