Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. Code of Federal Regula...
/
Title 17—Commodity and Secu...
/
CHAPTER II—SECURITIES AND E...
/
PART 279—FORMS PRESCRIBED UNDER THE INVESTMENT ...
PART 279—FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
§ 279.0-1 - Availability of forms.
§ 279.1 - Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
§ 279.2 - Form ADV-W, notice of withdrawal from registration as investment adviser.
§ 279.3 - Form ADV-H, application for a temporary or continuing hardship exemption.
§ 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.
§§ 279.5-279.7 - Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
§ 279.8 - Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
§ 279.9 - Form PF, reporting by investment advisers to private funds.