This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

Number
Description
Last Updated
SEC Number
Topic(s)
Number:ADV Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Last Updated: SEC Number:

SEC1707

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-E Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Last Updated: SEC Number:SEC2223 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-H Description: Application for a temporary or continuing hardship exemption (PDF)
Last Updated: SEC Number:SEC2566 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-NR Description: Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)
Last Updated: SEC Number:SEC2565 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-W Description: Notice of withdrawal from registration as investment adviser (PDF)
Last Updated: SEC Number:SEC777 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:PF Description: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
Last Updated: SEC Number:SEC2048 Topic(s):Investment Advisers Act of 1940, Investment Advisers