§ 279.1. Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
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/us/cfr/t17/s§ 279.1·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
This form shall be filed pursuant to Rule 203-1 (§ 275.203-1 of this chapter) as an application for registration of an investment adviser pursuant to sections 203(c) or 203(g) of the Investment Advisers Act of 1940, and also as an amendment to registration pursuant to Rule 204-1 (§ 275.204-1 of this chapter). \[44 FR 21008, Apr. 9, 1979\] Editorial Note:For Federal Register citations affecting Form ADV, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
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CFR
- § 275.0-7Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act.
- § 275.204-2Books and records to be maintained by investment advisers.
- § 275.203-1Application for investment adviser registration.
- § 275.204-3Delivery of brochures and brochure supplements.
- § 275.204-1Amendments to Form ADV.
- § 275.203-3Hardship exemptions.
- § 275.204-4Reporting by exempt reporting advisers.
- § 275.203-2Withdrawal from investment adviser registration.
- § 275.0-2General procedures for serving non-residents.
- § 201.193Applications by barred individuals for consent to associate.
- § 275.204-5Delivery of Form CRS.
- § 275.203A-3Definitions.
- § 275.203A-2Exemptions from prohibition on Commission registration.
- § 275.206(4)-5(4)-5 Political contributions by certain investment advisers.
register
- Rules and RegulationsFinal rule; extension of compliance date
- Proposed RulesProposed rule
- NoticesNotice of Application for Exemption under the Investment Advisers Act of 1940 (“Advisers Act”)
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Proposed RulesProposed rule
- Presidential DocumentsFinal rule
- Proposed RulesPublication of list of rules scheduled for review
- Rules and RegulationsProposed rules
- Proposed RulesProposed rule
- Rules and RegulationsFinal rule; technical amendments
- Proposed RulesProposed rule
- NoticesFinal rule
- Presidential DocumentsProposed rule
- Rules and RegulationsInterim final temporary rule; Request for comments
- NoticesFinal rule
- Rules and RegulationsFinal rule
- Proposed RulesPublication of list of rules scheduled for review
- Proposed RulesProposed rule
- Rules and RegulationsTemporary final rules and final rules
- Rules and RegulationsProposed rule
- NoticesProposed rule
- NoticesJoint proposed rules
- Rules and RegulationsJoint final rule
- Proposed RulesFinal rule
- Proposed RulesNotification of Proposed Class Exemption
- NoticesProposed rule
- NoticesFinal rule
- NoticesJoint proposed rules
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesFinal rule
- NoticesProposed rule
- NoticesProposed rule
- NoticesAdoption of class exemption and interpretation
- NoticesNotice of intended modifications to an existing system of records and the establishment of a new system of records
- Rules and RegulationsFinal rule
- NoticesProposed rule
- Proposed RulesPublication of list of rules scheduled for review
- NoticesSECURITIES AND EXCHANGE COMMISSION
- Proposed RulesFinal rule
- Proposed RulesFinal rule
- NoticesProposed rule
- Proposed RulesProposed rule
- NoticesNotice of Public Meetings
- NoticesFinal rule; request for comments
- NoticesList of rules scheduled for review
- NoticesPublication of list of rules scheduled for review
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§ 279.1
Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
Fed. Reg.×152
C.F.R.×15
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