Rules & Regulations

The IAA rule that requires firms to create a Form ADV brochure

(a) Eligibility for SEC registration of mid-sized investment advisers. If you are an investment adviser described in section 203A(a)(2)(B) of the Act (15 U.S.C. 80b-3a(a)(2)(B)): ...

You must file all amendments to Part 1A of Form ADV and Part 2A of Form ADV electronically with the IARD, unless you have received ...

(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...

(a) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, ...

(a) Investment performance of an investment company for any period shall mean the sum of: (1) The change in its net asset value per share ...

This is the Advisers Act's code of ethics rule

This section provides two “hardship exemptions” from the requirement to make Advisers Act filings electronically with the Investment Adviser Registration Depository (IARD). (a) Temporary hardship ...

For purposes of section 203A of the Act (15 U.S.C. 80b-3a) and the rules thereunder: (a)(1) Investment adviser representative. “Investment adviser representative” of an investment ...

(a) Exempt reporting advisers. If you are an investment adviser relying on the exemption from registering with the Commission under section 203(l) or (m) of ...