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Electronic Code of Federal Regulations

e-CFR data is current as of February 27, 2020

Title 17Chapter II → Part 279


Title 17: Commodity and Securities Exchanges


PART 279—FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940


Contents
§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   [Reserved]
§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.

Authority: The Investment Advisers Act of 1940, 15 U.S.C. 80b-1, et seq., Pub. L. 111-203, 124 Stat. 1376.

Source: 33 FR 19005, Dec. 20, 1968, unless otherwise noted.

§279.0-1   Availability of forms.

(a) This part identifies and describes the forms prescribed for use under the Investment Advisers Act of 1940.

(b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional offices. (See §200.11 of this chapter for the addresses of SEC regional offices.)

[46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994; 73 FR 32229, June 5, 2008]

§279.1   Form ADV, for application for registration of investment adviser and for amendments to such registration statement.

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.

§279.2   Form ADV-W, notice of withdrawal from registration as investment adviser.

This form shall be filed pursuant to Rule 203-2 (§275.203-2 of this chapter) by a registered investment adviser as a notice of withdrawal from registration as such under the Investment Advisers Act of 1940.

Editorial Note: For Federal Register citations affecting Form ADV-W, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§279.3   Form ADV-H, application for a temporary or continuing hardship exemption.

An investment adviser must file this form under §275.203-3 of this chapter to request a temporary hardship exemption or apply for a continuing hardship exemption.

[65 FR 57451, Sept. 22, 2000]

Editorial Note: For Federal Register citations affecting Form ADV-H, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§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.

Each non-resident general partner or managing agent of an investment adviser must file this form under §275.0-2 of this chapter.

[65 FR 57451, Sept. 22, 2000]

Editorial Note: For Federal Register citations affecting Form ADV-NR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§§279.5-279.7   [Reserved]

§279.8   Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.

[54 FR 32049, Aug. 4, 1989]

Editorial Note: For Federal Register citations affecting Form ADV-E, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§279.9   Form PF, reporting by investment advisers to private funds.

This form shall be filed pursuant to Rule 204(b)-1 (§275.204(b)-1 of this chapter) by certain investment advisers registered or required to register under section 203 of the Act (15 U.S.C. 80b-3) that act as an investment adviser to one or more private funds.

[76 FR 71175, Nov. 16, 2011]

Editorial Note: For Federal Register citations affecting Form PF, 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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