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 for setting up an IARD Account if you plan to register or file reports with the SEC as an investment adviser.
SEC Releases on IARD, the Revised Form ADV, and Form PF
- SEC Release Form ADV and Investment Advisers Act Rules [Release No. IA-4509 (August 25, 2016)]
- SEC Release Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF [Release No. IA-3308 (October 31, 2011)]
- SEC Release Adopting Rules Implementing Amendments to the Investment Advisers Act of 1940 [Release No. IA-3221 (June 22, 2011)]
- SEC Release Adopting Amendments to Form ADV (Form ADV, Part 2 Brochure); [Release No. IA-3060 (July 28, 2010)]
- SEC Release Adopting Custody of Funds or Securities of Clients by Investment Advisers; [Release No. IA-2968 (December 30, 2009)]
- 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]
Law